NA
Nicholas Attard
CITY NATIONAL SECURITIES
Fairfield, CT
Some features on this profile are disabled
CRD#: 5745647
NA
Professional summary
Nicholas Attard, who also goes by Nicholas Brian Attard, Nicholas B Attard, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Fairfield, Connecticut.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Brian Attard | Nicholas B Attard
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) I am currently the Treasurer and board member of the Bartlett Arboretum and Gardens, a 501c3 nonprofit in Stamford, CT. (2) Name of Entity: Old Colony YMCA; Non investment-related; Address: 320 Main Street, Brockton, MA 02301; Nature of OBA: The YMCA is the leading nonprofit committed to strengthening individuals and communities across the country. Every day, we help people connect to their purpose, potential and each other. Working locally, we focus on supporting young people, improving health and well-being and inspiring action in and across communities. Learn more about how you can get involved, donate and advocate in your community.; Position/Title/Relationship: Committee Member; Start Date: 2024-03-25; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Approving the annual budget, Monitoring monthly financial statements, Overseeing financial reporting, including the annual IRS Form 990 and all required tax filings, Ensuring the organization has the cash reserves necessary for long-term success.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Attard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Attard'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®
NoneExperience
Current
November 9, 2021 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 400 Park Avenue, New York, NY 10022RIA
BD
CRD#: 103705
Fairfield, CT
Current
November 9, 2021 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 103705
Los Angeles, CA
Past
January 22, 2019 - October 15, 2021
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
February 11, 2014 - March 20, 2018
COMMONFUND SECURITIES, INC.
BD
CRD#: 43541
WILTON, CT
Past
September 10, 2012 - January 23, 2014
MORGAN STANLEY
RIA
CRD#: 149777
NEW HAVEN, CT
Past
August 10, 2012 - January 23, 2014
MORGAN STANLEY
BD
CRD#: 149777
NEW HAVEN, CT
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
Alabama(5/31/2022)
RR
Alaska(5/31/2022)
RR
Arizona(5/31/2022)
RR
Arkansas(5/31/2022)
RR
California(5/31/2022)
RR
Colorado(5/31/2022)
RR
Connecticut(5/31/2022)
RR
Delaware(5/31/2022)
RR
District of Columbia(5/31/2022)
RR
Florida(5/31/2022)
RR
Georgia(5/31/2022)
RR
Hawaii(5/31/2022)
RR
Idaho(5/31/2022)
RR
Illinois(5/31/2022)
RR
Indiana(5/31/2022)
RR
Iowa(5/31/2022)
RR
Kansas(5/31/2022)
RR
Kentucky(5/31/2022)
RR
Louisiana(5/31/2022)
RR
Maine(5/31/2022)
RR
Maryland(5/31/2022)
RR
Massachusetts(5/31/2022)
RR
Michigan(5/31/2022)
RR
Minnesota(5/31/2022)
RR
Mississippi(5/31/2022)
RR
Missouri(5/31/2022)
RR
Montana(5/31/2022)
RR
Nebraska(5/31/2022)
RR
Nevada(5/31/2022)
RR
New Hampshire(5/31/2022)
RR
New Jersey(5/31/2022)
RR
New Mexico(5/31/2022)
RR
New York(11/9/2021)
IAR
New York(11/9/2021)
RR
North Carolina(5/31/2022)
RR
North Dakota(5/31/2022)
RR
Ohio(5/31/2022)
RR
Oklahoma(5/31/2022)
RR
Oregon(5/31/2022)
RR
Pennsylvania(5/31/2022)
RR
Rhode Island(5/31/2022)
RR
South Carolina(5/31/2022)
RR
South Dakota(5/31/2022)
RR
Tennessee(5/31/2022)
RR
Texas(5/31/2022)
RR
Utah(5/31/2022)
RR
Vermont(5/31/2022)
RR
Virginia(5/31/2022)
RR
Washington(5/31/2022)
RR
West Virginia(5/31/2022)
RR
Wisconsin(5/31/2022)
RR
Wyoming(5/31/2022)
Exams
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.
