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388 Greenwich Street, New York, NY 10013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-03-19 |
Branch Locations
Cwm Retail, Sales 12948 Saratoga-Sunnyvale Road, Saratoga, CA 95070 • United States
Citi Wealth Management, Sales 300 South Grand Avenue, Fl 31, Los Angeles, CA 90071 • United States
San Bruno, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A | San Francisco | CA | 08/2009 | 01/2019 |
| Citi Groups | San Francisco | CA | 01/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2010-09-27 |
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