AO
Amber K. Ortiz
CITY NATIONAL SECURITIES
Santa Barbara, CA
Some features on this profile are disabled
CRD#: 5517017
AO
Professional summary
Amber Kay Ortiz, CFP®, who also goes by Amber Kay Dominguez, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Santa Barbara, California.
Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Amber has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amber Kay Dominguez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) Name of Entity: Laguna Blanca School; Non-investment related; Address: 4125 Paloma Drive, Santa Barbara; Nature of OBA: Education: Private K-12 School; Position/Title/Relationship: Board Member; Start Date: 07/01/2021; Time devoted: 10 hours per month; 0 during securities trading hours Duties: Fiduciary role for the school as a board member. Oversight and advisory over the school. (2) Name of Entity: Towbes Family Foundation; Non-investment related; Address: 33 East Carrillo Street, Suite 201 Santa Barbara, CA 93101; Nature of OBA: Private Family Foundation; Position/Title/Relationship: Trustee; Start Date: 03/01/2023; Time devoted: 5 hours per month; 2 during securities trading hours; Duties: We support and provide fiduciary oversight of the organization. We participate in strategic and organizational planning for the foundation. I also sit on the finance and investment committee.
CRS (Client Relationship Summary) - RIA
Click below to view Amber Kay Ortiz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amber Kay Ortiz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2012
Experience
Current
May 29, 2014 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 1205 Coast Village Road 1st Floor, Montecito, CA 93108RIA
BD
CRD#: 103705
Santa Barbara, CA
Current
May 28, 2014 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 1205 Coast Village Road 1st Floor, Montecito, CA 93108RIA
BD
CRD#: 103705
Montecito, CA
Past
May 8, 2013 - May 14, 2014
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
SANTA BARBARA, CA
Past
May 8, 2013 - May 14, 2014
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
SANTA BARBARA, CA
Past
November 16, 2010 - February 10, 2012
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
SANTA BARBARA, CA
Past
March 26, 2010 - February 10, 2012
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SANTA BARBARA, CA
Past
May 5, 2008 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SANTA BARBARA, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CN
CITY NATIONAL SECURITIES, INC.
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
RIA
Registered Investment Advisory firm - SEC (3/22/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/28/2014)
IAR
California(5/29/2014)
RR
Nevada(2/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL SECURITIES, INC.
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
RIA
Registered Investment Advisory firm - SEC (3/22/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
555 South Flower Street 11th Floor, Los Angeles, CA 90071
Mailing Address
555 South Flower Street 11th Floor, Los Angeles, CA 90071
Phone number
(310) 888-6400
Established
California since 11/03/1999
Firm type
Corporation
Fiscal year end
October
Firm Size
Medium
# of Employees
78
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
