Justin J. Rowley
Professional summary
Justin J Rowley, who also goes by Justin J Rowley, Justin Rowley, Justin James Rowley, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Justin is registered as a RR (Registered Representative) and started their career in finance in 2012. Justin has worked at 4 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Justin J Rowley's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 23, 2021 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071Office #2: 555 South Flower Street 11th Floor, Los Angeles, CA 90071June 30, 2016 - September 20, 2019
J.P. MORGAN PRIME INC.
January 14, 2016 - November 13, 2021
J.P. MORGAN SECURITIES LLC
July 27, 2012 - October 1, 2016
J.P. MORGAN CLEARING CORP.
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
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
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