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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
IL RA APPROVED 2007-05-29
  • IL RA
    APPROVED
    Since 2007-05-29

Branch Locations

Citi Private Bank 227 West Monroe Street - 24, Chicago, IL 60606 • United States

Citi Private Bank 1225 17Th Street, 21St Floor, Suite 2100, Denver, CO 80202 • United States

Winnetka, IL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Chicago IL 05/2007 Present
Previous Registrations
  • 2002-01-14 → 2007-05-29
    Citicorp Investment Services
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-07
S63 Uniform Securities Agent State Law Examination 1997-02-22
  • S65 Uniform Investment Adviser Law Examination
    1998-12-07
  • S63 Uniform Securities Agent State Law Examination
    1997-02-22
Other Names
  • Douglas Gourley

View on SEC IAPD

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