AF
Amra Faruqi
CITY NATIONAL SECURITIES
Walnut Creek, CA 94596
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CRD#: 6410293
AF
Professional summary
Amra Faruqi is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Walnut Creek, California.
Amra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Amra has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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; rental property, Investment related: no ownership of rental property, Address: 271 N Orinda St Mountain House CA 95391, Nature of business: owner of rental property, Position: owner, Start date: 06/05/2013, Duties: Renting out and managing maintenance of rental property from time to time. Hours/month: 0, Hours during securities trading hours: 0, (2) NAME OF ENTITY: Developments in Literacy ADDRESS: 17320 Red Hill Avenue, Suite 120, Irvine CA 92614 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: LA based not for profit that raises funds for and manages children's schools CAPACITY: Volunteer as Treasurer of the San Francisco Chapter START DATE: 8/1/2012 DUTIES: Keeping record of fund raising efforts and making budgets HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Amra Faruqi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amra Faruqi'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
September 17, 2025 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2001 North Main Street 1st Floor, Walnut Creek, CA 94596RIA
BD
CRD#: 103705
Walnut Creek, CA
Current
September 17, 2025 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2001 North Main Street 1st Floor, Walnut Creek, CA 94596RIA
BD
CRD#: 103705
Walnut Creek, CA
Past
August 6, 2021 - June 17, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
January 16, 2020 - July 26, 2021
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
Pleasanton, CA
Past
October 30, 2014 - October 18, 2018
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
CUPERTINO, 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.
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(9/17/2025)
IAR
California(9/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
Company Information
CITY NATIONAL SECURITIES, INC.
CRD#: 103705Walnut Creek, CA 94596TRUST BUT VERIFY
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