Kevin G. Betts

CITY NATIONAL ROCHDALE

BEVERLY HILLS, CA 90210

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CRD#: 5561814

Professional summary

Kevin Gerard Betts, CPWA®, who also goes by Kevin G Betts, Kevin Betts, Kevin Gerard Betts, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Beverly Hills, California and CNR SECURITIES, LLC located in Beverly Hills, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kevin has worked at 9 firms and has passed the Series 66, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin G Betts | Kevin Betts | Kevin Gerard Betts

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Gerard Betts's CRS (Customer Relationship Summary).

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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2021-01-11

Expire date: 2024-12-31

Experience

Current

September 12, 2025 - Present

CITY NATIONAL ROCHDALE

Office #1: 400 N Roxbury Dr 7th Floor, Beverly Hills, CA 90210

RIA

CRD#: 117198

BEVERLY HILLS, CA

Current

September 12, 2025 - Present

CNR SECURITIES, LLC

Office #1: 400 N Roxbury Dr 7th Floor, Beverly Hills, CA 90210

CRD#: 18466

BEVERLY HILLS, CA

Past

January 19, 2023 - September 1, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LOS ANGELES, CA

Past

January 19, 2023 - September 1, 2025

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

LOS ANGELES, CA

Past

January 19, 2023 - September 1, 2025

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

Los Angeles, CA

Past

July 24, 2018 - December 21, 2022

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

BEVERLY HILLS, CA

Past

July 24, 2018 - December 21, 2022

CNR SECURITIES, LLC

CRD#: 18466

BEVERLY HILLS, CA

Past

March 27, 2017 - August 1, 2017

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

COLORADO SPRINGS, CO

Past

May 18, 2015 - January 31, 2017

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

IRVINE, CA

Past

May 15, 2015 - January 31, 2017

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

IRVINE, CA

Past

June 5, 2014 - May 6, 2015

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

NEW YORK, NY

Past

June 4, 2014 - May 6, 2015

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

October 11, 2012 - June 9, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

October 11, 2012 - June 9, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 27, 2011 - September 13, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

April 28, 2011 - September 13, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

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".

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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.

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

California
(9/12/2025)

IAR

California
(9/12/2025)

Hawaii
(9/12/2025)

IAR

Hawaii
(9/15/2025)

Nevada
(9/15/2025)

IAR

Nevada
(9/15/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/25/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 1/25/2023

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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Contact information

Main Address

400 Park Avenue 10th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 702-3500

Established

Firm type

Fiscal year end

# of Employees

235

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CNR ADV PART 2A WRAP FEE BROCHURE - OCTOBER 28, 2025 (10/28/2025)

CNR ADV PART 2A BROCHURE - OCTOBER 28, 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	41,300
AUM (Assets Under Management)	$ 68,177,828,012

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Kevin G. Betts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Gerard Betts's CRS (Customer Relationship Summary).

Certified licenses

Experience

CNR SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

CITY NATIONAL ROCHDALE

CNR SECURITIES, LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CITY NATIONAL ROCHDALE

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2011

Series 31

Date: 1/25/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2011

FINRA

Current Firm

CITY NATIONAL ROCHDALE

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL ROCHDALE

TRUST BUT VERIFY

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