PR
Paniz Raeisi
CITY NATIONAL SECURITIES
Agoura Hills, CA
Some features on this profile are disabled
CRD#: 6497496
PR
Professional summary
Paniz Raeisi, who also goes by Paniz Hadizadeh-raeisi, Pam Raeisi, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Agoura Hills, California.
Paniz is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Paniz has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paniz Hadizadeh-Raeisi | Pam Raeisi
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: Grandia Design & Events, LLC. Non-Investment related Address of entity: 2108 N Street Suite N, Sacramento, CA 95816 = business address (registered agent) 29743 Quail Run Drive, Agoura Hills, CA 91301 = mailing address (home) Nature of OBA: Design and event planning services Position/Title/Relationship: Partner Start Date: 04/11/2024 Time devoted: 20 hours per month; 0 during securities trading hours Duties: Designing, coordinating and planning events
CRS (Client Relationship Summary) - RIA
Click below to view Paniz Raeisi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paniz Raeisi'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
July 22, 2019 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 2029 Century Park East 1st Floor, Los Angeles, CA 90067RIA
BD
CRD#: 103705
Agoura Hills, CA
Current
July 19, 2019 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2029 Century Park East 1st Floor, Los Angeles, CA 90067RIA
BD
CRD#: 103705
LOS ANGELES, CA
Past
January 7, 2019 - July 12, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
LOS ANGELES, CA
Past
January 7, 2019 - July 12, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
LOS ANGELES, CA
Past
September 6, 2017 - December 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SANTA MONICA, CA
Past
May 11, 2017 - December 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SANTA MONICA, CA
Past
June 16, 2015 - April 10, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
AGOURA HILLS, 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(7/19/2019)
IAR
California(7/22/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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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.
