Kellen Ng

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CRD#: 6309230

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.

Kellen Ng, who also goes by Kellen Lien, was a registered financial professional .

Kellen is a previously registered financial professional and started their career in finance in 2014. Kellen had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kellen Lien

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)

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®

None

Experience

Past

May 18, 2021 - May 29, 2024

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

LOS ANGELES, CA

Past

May 12, 2021 - May 29, 2024

CITY NATIONAL SECURITIES, INC.

RIA

CRD#: 103705

Taylorsville, UT

Past

December 18, 2018 - May 11, 2021

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

IRVINE, CA

Past

December 17, 2018 - May 11, 2021

CNR SECURITIES, LLC

CRD#: 18466

IRVINE, CA

Past

July 11, 2017 - December 17, 2018

CITY NATIONAL SECURITIES, INC.

RIA

CRD#: 103705

BEVERLY HILLS, CA

Past

July 10, 2017 - December 17, 2018

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

BEVERLY HILLS, CA

Past

June 2, 2016 - June 29, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WEST COVINA, CA

Past

June 2, 2016 - June 29, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

WEST COVINA, CA

Past

November 24, 2015 - April 18, 2016

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

Pasadena, CA

Past

September 4, 2014 - April 18, 2016

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

PASADENA, CA

Past

April 14, 2014 - May 19, 2014

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

PASADENA, 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".

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/21/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/11/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

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

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Firm Stability Insights

Kellen Ng

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL ROCHDALE

CNR SECURITIES, LLC

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2015

Series 63

Date: 4/21/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/24/2015

Series 6

Date: 4/11/2014

Current Firm

CITY NATIONAL SECURITIES, INC.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL SECURITIES, INC.

TRUST BUT VERIFY

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