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Richard Joseph Barton

CITY NATIONAL SECURITIES, INC.·LOS ANGELES, California
SIE, Series 6, Series 7, Series 14, Series 24, Series 63Clean recordCITY NATIONAL SECURITIES, INC.
555 SOUTH FLOWER STREET, LOS ANGELES, CA 90071CRD# 2040869Firm CRD# 103705

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Richard Joseph Barton · LOS ANGELES, CA
Registration
CRD #2040869 · CITY NATIONAL SECURITIES, INC.
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 14
Series 24
Series 63
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
CITY NATIONAL SECURITIES, INC.
CRD 103705 · SEC 801-71181
AUM
$1.5B
Regulatory assets under management
Employees
47
2,126 client accounts
Services offered by CITY NATIONAL SECURITIES, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at CITY NATIONAL SECURITIES, INC. →
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Frequently Asked Questions

What services does Richard Joseph Barton offer?
Richard Joseph Barton specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LOS ANGELES, California for a consultation.
What are Richard Joseph Barton's credentials?
Richard Joseph Barton is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Richard Joseph Barton located?
Richard Joseph Barton is based in LOS ANGELES, California, working with CITY NATIONAL SECURITIES, INC.. Their office serves clients in the LOS ANGELES metropolitan area and surrounding communities.
How does Richard Joseph Barton charge for services?
Richard Joseph Barton's firm is compensated through percentage of aum, other: mutual fund fees, broker fees & transaction fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CITY NATIONAL SECURITIES, INC.?
CITY NATIONAL SECURITIES, INC. has approximately 47 employees and manages $1.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at CITY NATIONAL SECURITIES, INC.

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Hua Son
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John Iii Balasz
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Rochelle Beth Levy
LOS ANGELES, CA
Ivor Patrick O'keeffe
LOS ANGELES, CA
Michael Joseph Nunnelee
LOS ANGELES, CA
CFP

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