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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-06-25
CA RA APPROVED 2007-05-29
  • TX RA
    APPROVED_RES
    Since 2026-06-25
  • CA RA
    APPROVED
    Since 2007-05-29

Branch Locations

Citi Private Bank 407 N. Maple Drive, Suite 150, Beverly Hills, CA 90210 • United States

Los Angeles, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Los Angeles CA 05/2007 Present
Previous Registrations
  • 2007-04-09 → 2007-05-29
    Citicorp Investment Services
    Los Angeles, CA
  • 2006-01-13 → 2007-03-15
    Credit Suisse Securities (Usa) Llc
    Los Angeles, CA
    Los Angeles, CA
  • 2002-12-20 → 2006-01-10
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
Other Businesses

Scotti's Original Springs, LLC; Business is not investment-related; Los Angeles, CA; Affiliation started 02/01/2016; Title: Manager; Duties: Manage LLC that will hold trademark; 2 hours are devoted to the business each month during security trading hours; 2 hours are devoted to the business each month outside of security trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-19
S63 Uniform Securities Agent State Law Examination 2001-04-13
  • S66 Uniform Combined State Law Examination
    2002-12-19
  • S63 Uniform Securities Agent State Law Examination
    2001-04-13

View on SEC IAPD

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