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Richard J Soroka

Citigroup Global Markets Inc.

New York, NY

Long Island City, NY

Astoria, NY

CRD 2786135

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Employer firm

Citigroup Global Markets Inc. CRD 7059

$56.0B regulatory AUM 2,481 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-17
NJ RA APPROVED 2013-01-02
  • NY RA
    APPROVED
    Since 2021-08-17
  • NJ RA
    APPROVED
    Since 2013-01-02

Branch Locations

Citi Wealth Management, National Sales 388 Greenwich St., New York, NY 10013 • United States

Citi Retail Banking Two Court Sq., 12Th Floor, Long Island City, NY 11101 • United States

Astoria, NY • 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 Long Island City NY 07/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-29
S63 Uniform Securities Agent State Law Examination 1996-08-27
  • S65 Uniform Investment Adviser Law Examination
    2012-12-29
  • S63 Uniform Securities Agent State Law Examination
    1996-08-27
Other Names
  • Richard John Soroka

View on SEC IAPD

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