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Farris D. Mandilawi

CITY NATIONAL SECURITIES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 5879690
FM

Professional summary

Farris David Mandilawi, who also goes by Farris D Mandilawi, Farris D. Mandilawi, Farris David Mandilawi, Farris Mandilawi, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.

Farris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Farris has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Farris D Mandilawi | Farris D. Mandilawi | Farris David Mandilawi | Farris Mandilawi

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 Farris David Mandilawi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Farris David Mandilawi'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®
None

Experience

Current

April 14, 2022 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071
RIA
BD
CRD#: 103705
Los Angeles, CA
Current

April 14, 2022 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071
RIA
BD
CRD#: 103705
Los Angeles, CA
Past

February 11, 2022 - March 25, 2022

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
BEVERLY HILLS, CA
Past

January 3, 2019 - March 25, 2022

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
BEVERLY HILLS, CA
Past

January 23, 2018 - November 19, 2018

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
SANTA MONICA, CA
Past

October 1, 2012 - January 18, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SANTA MONICA, CA
Past

August 22, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
OAK CREEK, WI

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
(4/14/2022)
IAR
California
(4/14/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/5/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/29/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/15/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/21/2012
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CNS ASSET ALLOCATION PROGRAM BROCHURE (4/24/2025)
CNS INVESTMENT ADVISORY PROGRAM BROCHURE (4/24/2025)

Direct owners and executive officers

NamePositionCRD#
CITY NATIONAL BANKSOLE SHAREHOLDER
BANUELOS, ALMA DELIABOARD MEMBER4530705
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
BRETADO, SANTIAGO AVILAVP, CFO1945627
DANIEL, JOBY SWANKUTTYBOARD DIRECTOR6616727
GIAQUINTO, GREGGBOARD DIRECTOR3182583
O'KEEFFE, IVOR PATRICKBOARD DIRECTOR2397120
RILEY, SHAWN DAVIDBOARD DIRECTOR7574191

Regulatory assets under management

Total Number of Accounts2,004
AUM (Assets Under Management)$ 1,591,349,877

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CITY NATIONAL SECURITIES, INC.

CRD#: 103705Los Angeles, CA 90071

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