NW
Nancy M. Wong
CITY NATIONAL SECURITIES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 6040385
NW
Professional summary
Nancy Mon-ying Wong, who also goes by Nancy M Wong, Nancy Wong, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 2012. Nancy has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nancy M Wong | Nancy Wong
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.
CRS (Client Relationship Summary) - BD
Click below to view Nancy Mon-ying Wong'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
December 27, 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
October 30, 2015 - January 21, 2020
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
San Marino, CA
Past
November 14, 2012 - November 12, 2015
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
SAN MARINO, 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.
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(3/22/2022)
RR
Alaska(3/22/2022)
RR
Arizona(3/22/2022)
RR
Arkansas(3/22/2022)
RR
California(12/27/2021)
RR
Colorado(3/22/2022)
RR
Connecticut(3/22/2022)
RR
Delaware(3/22/2022)
RR
District of Columbia(3/22/2022)
RR
Florida(3/22/2022)
RR
Georgia(3/22/2022)
RR
Hawaii(3/22/2022)
RR
Idaho(3/22/2022)
RR
Illinois(3/22/2022)
RR
Indiana(3/22/2022)
RR
Iowa(3/22/2022)
RR
Kansas(3/22/2022)
RR
Kentucky(3/22/2022)
RR
Louisiana(3/22/2022)
RR
Maine(3/22/2022)
RR
Maryland(3/22/2022)
RR
Massachusetts(3/22/2022)
RR
Michigan(3/22/2022)
RR
Minnesota(3/22/2022)
RR
Mississippi(3/22/2022)
RR
Missouri(3/22/2022)
RR
Montana(3/22/2022)
RR
Nebraska(3/22/2022)
RR
Nevada(3/22/2022)
RR
New Hampshire(3/22/2022)
RR
New Jersey(3/22/2022)
RR
New Mexico(3/22/2022)
RR
New York(3/22/2022)
RR
North Carolina(3/22/2022)
RR
North Dakota(3/22/2022)
RR
Ohio(3/23/2022)
RR
Oklahoma(3/22/2022)
RR
Oregon(3/22/2022)
RR
Pennsylvania(3/22/2022)
RR
Rhode Island(3/22/2022)
RR
South Carolina(3/22/2022)
RR
South Dakota(3/22/2022)
RR
Tennessee(3/22/2022)
RR
Texas(3/22/2022)
RR
Utah(3/22/2022)
RR
Vermont(3/22/2022)
RR
Virginia(3/22/2022)
RR
Washington(3/22/2022)
RR
West Virginia(3/22/2022)
RR
Wisconsin(3/22/2022)
RR
Wyoming(3/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
