NW
Nichole N. Walker
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CRD#: 6175512
NW
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nichole Neal Walker was a registered financial professional .
Nichole is a previously registered financial professional and started their career in finance in 2013. Nichole had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) Name of Entity: Special Olympics of Northern California and Nevada; Non-investment related; Address: 3480 Buskirk Avenue, Suite 340 Pleasant Hill, CA 94523 ; Nature of OBA: Special Olympics Northern California provides year round sports training and athletic competition in a variety of Olympic type sports for children and adults with intellectual disabilities, creating inclusive communities through inclusive sports, education, health and athlete leadership; Position/Title/Relationship: Board Member; Start Date: 03/15/2023; Time devoted: 4 hours per month; 0 during securities trading hours Duties: Board member: 1. Be knowledgeable of Special Olympics programs and services, SONC/NV's business policies and procedures, SONC/NV's corporate bylaws, and SONC/NV's directors and officers. 2. Pursue the warning signs of potential problems or concerns by listening, asking tough questions, and probing for detail. 3. Insist on meaningful Board meetings with full disclosure of operating results. (2) Name of Entity: Women in Leadership Program at the University of San Francisco; Non-investment related; Address: 2130 Fulton St, San Francisco, CA 94117 ; Nature of OBA: The USF School of Management Women in Leadership Program is designed by industry experts for professionals seeking expert advice, strategies and practical tools. The curriculum included an initial Personal Leadership assessment, team building, negotiation strategies and communications development.; Position/Title/Relationship: Advisory Board Member; Start Date: 01/22/2024; Time devoted: 3 hours per month; 0 during securities trading hours; Duties: Provide feedback regarding the curriculum and ongoing assessment of the caliber of the courses, as well as serve as a mentor to female executives who are enrolled as students in the program.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
July 6, 2016 - January 13, 2025
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
SAN FRANCISCO, CA
Past
June 10, 2016 - January 13, 2025
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
SAN FRANCISCO, CA
Past
June 19, 2013 - June 29, 2015
MORGAN STANLEY
RIA
CRD#: 149777
ORLANDO, FL
Past
May 9, 2013 - June 29, 2015
MORGAN STANLEY
BD
CRD#: 149777
ORLANDO, FL
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
