AA
Andrew P. Allen
CITY NATIONAL SECURITIES
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6707613
AA
Professional summary
Andrew Peale Allen, who also goes by Andrew Allen, Andy Allen, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in New York, New York.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Andrew has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Allen | Andy Allen
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.
I*99077 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SUGAR TREE FARM, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: MARBLEHEAD, MASSACHUSETTS 1945 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OTHER, MEMBER START DATE OF RELATIONSHIP: 12/7/2015 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: 33% MEMBER. REAL ESTATE HOLDING ENTITY. HOLDS AND MANAGES A SINGLE REAL ESTATE PROPERTY I*99073 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PEALE FOUNDATION, INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: PAWLING, NEW YORK 12564 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OTHER, MEMBER START DATE OF RELATIONSHIP: 35310 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DELAWARE NOT FOR PROFIT CORPORATION THAT SUPPORTS ORGANIZATIONS THAT CARRY FORWARD THE MESSAGE OF NORMAN VINCENT PEALE AND SUPPORTS THE CAUSES AND ORGANIZATIONS THAT EXPRESS, PROMOTE AND ARE CONSISTENT WITH THE VALUES, BELIEFS AND IDEALS OF NVP. FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ADAM J. LEWIS ACADEMY INVESTMENT RELATED: N ADDRESS OF BUSINESS: BRIDGEPORT, CT 06604 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR START DATE OF RELATIONSHIP: SEPTEMBER 2024 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: K-8 NON-PROFIT SCHOOL the name of the other business; - The Ehrhardt Family Delaware Trust Agreement whether the business is investment-related; non investment-related the address of the other business; - Gordon, Fournaris and Mammarella PA 1925 Lovering Avenue Wilmington, DE 19806 the nature of the other business; - The entity is a Delaware Trust. your position/title/relationship with the other business; - Investment Direction Advisor the start date of your relationship; - 2025-06-25 the approximate number of hours/month you devote to the other business; - 0.25 the number of hours you devote to the other business during securities trading hours; - 0 and briefly describe your duties relating to the other business; - Refer to TENTH section of trust document (pages 20-26)
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Peale Allen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Peale Allen'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 19, 2024 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022RIA
BD
CRD#: 103705
NEW YORK, NY
Current
December 19, 2024 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022RIA
BD
CRD#: 103705
NEW YORK, NY
Past
February 28, 2017 - December 10, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTPORT, CT
Past
December 28, 2016 - December 10, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTPORT, CT
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
New York(12/19/2024)
IAR
New York(12/19/2024)
Exams
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.
