Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
RAFAEL ANTONIO PANDO
RALPH A PANDO, RALPH PANDO
CRD#: 3061784
IA
Investment Adviser
B
Broker
CITY NATIONAL SECURITIES, INC.CRD#: 103705 55 S. Lake Ave
Suite 630
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - 2021 (9 years)2 FIRMS2021 - Present (3 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2007 (7 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1998 - 1999 (1 year)
License(s)

State Registrations

B
California 11/4/2021
IA
California 11/5/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITY NATIONAL SECURITIES, INC. (CRD#:103705)
55 S. Lake Ave Suite 630, Pasadena, CA 91101
PASADENA, CA
Registered with this firm since 11/5/2021
B
CITY NATIONAL SECURITIES, INC. (CRD#:103705)
55 S. Lake Ave Suite 630, Pasadena, CA 91101
PASADENA, CA
Registered with this firm since 11/4/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/26/2012 - 10/28/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PASADENA, CA
B
 09/20/2012 - 10/28/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PASADENA, CA
B
 07/12/1999 - 06/04/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ENCINO, CA
B
 05/26/1998 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.