Andrew C Lai

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2016 → Present
  Citigroup
  San Francisco, CA

Previous Registrations

• 2012-05-16 → 2016-02-23
  Wells Fargo Clearing Services, Llc
  Palo Alto, CA
  Palo Alto, CA
  Los Altos, CA
  Addison, TX
  San Leandro, CA
• 2009-10-23 → 2012-05-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fremont, CA
  San Jose, CA
• 2008-05-27 → 2009-10-23
  Banc Of America Investment Services, Inc.
  San Jose, CA
  Fremont, CA

Other Businesses

Notary Public - external/outside of Citi; Not investment-related; Location depends on the person who needs a notary - typically within the Bay area, CA; Affiliation started 09/10/2018; Duties: Notarize signatures; No time is devoted each month during securities trading hours; Less than 5 hours are devoted each month outside securities trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2008-05-23