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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-12-18
  • CA RA
    APPROVED
    Since 2020-12-18

Branch Locations

Citi Retail Banking 451 Montgomery Street, 2Nd Floor- Suite 200, San Francisco, CA 94104 • United States

Citi Retail Banking 7889 Dublin Blvd., Dublin, CA 94568 • United States

Cwm Retails, Sales 20 Crescent Drive, Suite 5C, Pleasant Hill, CA 94523 • United States

Hayward, 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. Castro Valley CA 05/2007 Present
Other Businesses

Approved Activity: Rental Property Castro Valley. CA//Is the outside business investment-related, per the definition given below? YES//What is the date the rental/real estate affiliation started? 09/15/2024//What is your title? Owner of the property//What are your duties? (Be brief) Rent out the property for income//How many hours do you devote to the outside business each month during securities trading hours? 0//How many hours do you devote to the outside business each month outside of securities trading hours? 1-5

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-27
S63 Uniform Securities Agent State Law Examination 1998-07-30
  • S66 Uniform Combined State Law Examination
    2020-08-27
  • S63 Uniform Securities Agent State Law Examination
    1998-07-30
Other Names
  • Sang Ngoc Le
  • Sang N Le

View on SEC IAPD

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Other Investors

Other Offices

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