Lloyd Braxton Clark

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

Authority	Category	Status	Date
GA	RA	APPROVED	2020-03-31
IL	RA	APPROVED	2007-03-09
TX	RA	APPROVED	2007-03-09

GA RA
APPROVED

Since 2020-03-31
IL RA
APPROVED

Since 2007-03-09
TX RA
APPROVED

Since 2007-03-09

Branch Locations

Macon, GA • United States

388 Greenwich Street, New York, NY 10013 • 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

Organization	City	State	From	To
Citigroup Global Markets Inc.	San Antonio	TX	02/2007	Present

02/2007 → Present

Citigroup Global Markets Inc.

San Antonio, TX

Previous Registrations

2004-01-06 → 2007-03-13

Citicorp Investment Services

San Antonio, TX

San Antonio, TX

Other Businesses

JUST KEEPING, LLC NEW YORK, NY NOT BUSINESS INVESTMENT RELATED AFFILIATION BEGAN 11/21/2014 TITLE: OWNER; DUTIES: GENERAL OWNERSHIP RESPONSIBILITIES. NO TIME DEVOTED DURING SECURITIES TRADING HOURS AND 5-10 HOURS PER MONTH OUTSIDE OF SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-06-26
S63	Uniform Securities Agent State Law Examination	1998-09-14

S65 Uniform Investment Adviser Law Examination

2001-06-26
S63 Uniform Securities Agent State Law Examination

1998-09-14

View on SEC IAPD