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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
CA RA APPROVED 2007-08-14
  • CA RA
    APPROVED
    Since 2007-08-14

Branch Locations

Citi Retail Banking 4455 Geary Blvd., San Francisco, CA 94118 • United States

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

San Francisco, 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. Sunnyvale CA 05/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-06
S63 Uniform Securities Agent State Law Examination 2004-06-15
  • S65 Uniform Investment Adviser Law Examination
    2007-08-06
  • S63 Uniform Securities Agent State Law Examination
    2004-06-15
Other Names
  • Jo Ting Su
  • Josir Jo Ting Su
  • Josie Jo Ting Su

View on SEC IAPD

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