CF
CFA
CF
CFA

Carolyn June Finer

20 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)
Firm Size
108 advisors
Number of Clients
1,638 clients
Average Client Portfolio
$972K average
Assets Under Management
$1.6B

Fee Structure

Minimum Investment:$50K
Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $1.0M0.01%
$1M+0.01%

Fees are negotiable in certain circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Minimum Annual Fee:$500
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Location

400 Park Avenue,, 2nd Floor, New York, NY, 10022

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
City National Securities, INC.
August 2021 - Present · 4 yrs 6 mos
City National Securities, INC.
August 2021 - Present · 4 yrs 6 mos
City National Securities, INC.Broker
August 2021 - Present · 4 yrs 6 mos
Previous Registrations
Cnr Securities, LLCBroker
April 2015 - April 2022 · 7 yrs
City National Rochdale
April 2015 - April 2022 · 7 yrs
UBS Financial Services INC.
March 2012 - March 2015 · 3 yrs
UBS Financial Services INC.Broker
February 2012 - March 2015 · 3 yrs 1 mo
J.P. Morgan Securities INC.Broker
May 2001 - September 2005 · 4 yrs 4 mos
J.P. Morgan Securities INC.Broker
April 2001 - May 2001 · 1 mo
J. P. Morgan Advisors, INC.Broker
June 2000 - April 2001 · 10 mos
J.P. Morgan Securities INC.Broker
December 1998 - December 2000 · 2 yrs
State Registrations16 states
CACOCTDCDEFLGAMAMDNCNJNVNYPATXVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.