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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-06-22
  • NY RA
    APPROVED
    Since 2022-06-22

Branch Locations

Citi Private Bank 388 Greenwich Street, 30Th Floor, New York, NY 10013 • United States

Massapequa, NY • 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
Hsbc Bank Usa, N.A. New York NY 12/2014 12/2019
Hsbc Securities (Usa) Inc. New York NY 12/2014 12/2019
Wells Fargo Bank, Na New York NY 03/2020 06/2022
Wells Fargo Clearing Services, Llc New York NY 03/2020 06/2022
Citi Private Advisory, Llc New York NY 06/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-22
  • S66 Uniform Combined State Law Examination
    2011-11-22
Other Names
  • Roger Joel Forman
  • Roger Forman

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