Gunther ShiaCRD Number: 3113298
Current Firm: City National Securities, Inc.
Gunther Shia (CRD# 3113298) is an Investment Advisor Representative working at City National Securities, Inc. in Beverly Hills, CA and has over 19 years of experience in the finance industry.
Jst Investment Consulting
Fried Asset Management, Inc.
|City National Bank||Los Angeles, CA||Apr 2010 - Current||7|
|Chase Investment Services Corp.||Valencia, CA||May 2009 - Mar 2010||< 1|
|Wm Financial Services, Inc.||Pasadena, CA||Sep 2003 - May 2009||5|
|Coalition Of Los Angeles Designers||Hollywood, CA||Jan 2006 - Oct 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1998|
|S65||NASAA Investment Advisors Law Examination||Feb 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,005MILLIONS
Total Number of Accounts1,493ACCOUNTS
Average Account Value$673,452
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AL, AZ, CA, CO, NJ, NV, NY, TX