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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-01
  • CA RA
    APPROVED
    Since 2024-07-01

Branch Locations

Cwm Retail, Sales 8800 South Sepulveda Boulevard, Los Angeles, CA 90045 • United States

Cwm Retail, Sales 935 Silver Spur Road, Rolling Hills Estates, CA 90274 • United States

Citi Wealth Management, Sales 285 South Lake Avenue, Pasadena, CA 91101 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Modern Jewelers Torrance CA 10/1991 10/2022
Jp Morgan Securities Llc Rancho Palos Verdes CA 06/2013 03/2022
3838 W 108Th Street Llc Inglewood CA 06/2013 Present
Normandie Ave Llc Gardena CA 08/2014 Present
Citigroup Rolling Hills Estates CA 06/2022 Present
  • 10/1991 → 10/2022
    Modern Jewelers
    Torrance, CA
  • 06/2013 → 03/2022
    Jp Morgan Securities Llc
    Rancho Palos Verdes, CA
  • 06/2013 → Present
    3838 W 108Th Street Llc
    Inglewood, CA
  • 08/2014 → Present
    Normandie Ave Llc
    Gardena, CA
  • 06/2022 → Present
    Citigroup
    Rolling Hills Estates, CA
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: NORMANDIE AVE, LLC. POSITION: CO-OWNER / LANDLORD - RENTAL PROPERTIES START DATE: 4/1/2014 (Normandie Property); Start Date: 07/2016 (El Segundo property) ADDRESS: 15121-15125 S. NORMANDIE AVE. GARDENA, CA 90247 ADDRESS: 2612 W. EL SEGUNDO BLVD. GARDENA, CA 90249 DETAILS: Multi units rental properties INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 0-3 ON MY OWN TIME. MOSTLY ON THE WEEKENDS HOURS DURING TRADING: 0-3 ON MY OWN TIME ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY MODERN JEWELERS I HAVE RECUSED MYSELF FROM THE BUSINESS OWNERSHIP AS OF 10/2022 ACTIVITY TYPE: 1-OUTSIDE BUSINESS ACTIVITY WITH A NON -PUBLIC ENTITY NAME OF ENTITY: 3838 W. 108TH STREET, LLC. POSITION: CO-OWNER / LANDLORD - RENTAL PROPERTY START DATE: 06/2013 ADDRESS: 3838 W. 108TH ST #1-4 Inglewood, CA 90303 DETAILS: MULTI FAMILY UNITS RENTAL PROPERTY IN CITY OF INGLEWOOD. PROPERTY IS BEING LEASED FOR INCOME. OWN 50% WITH SPOUSE SINCE 10/2010. PROPERTY PLACED INTO LLC SINCE 05/2013. PERFORM GENERAL MAINTAINANCE, COLLECT RENTS, AND PAY BILLS. HOURS DEDICATED (per month unless otherwise indicated): 1 -3 HOURS EVERY 3-4 MOTNHS. HOURS DURING TRADING: 1-3 HOURS IF ANYTHING IS NEEDED AND ONLY DURING MY TIME OFF OR WEEKENDS INVESTMENT RELATED: YES ///// Rental Property - Inglewood, CA; Investment-related; Started: August 11, 2008; Title: Manager/Owner; Duties: Collect rents, pay bills, and coordinate repairs as needed.; 1-5. hours are devoted each month during securities trading hours; 1-5. hours are devoted each month outside of securities trading hours. /////

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-06-28
S63 Uniform Securities Agent State Law Examination 2011-12-15
  • S65 Uniform Investment Adviser Law Examination
    2024-06-28
  • S63 Uniform Securities Agent State Law Examination
    2011-12-15
Other Names
  • Cindy Nguyen
  • Cindy Hong Thu Nguyen
  • Cindy N Pheng
  • Cindy Pheng
  • Cindy Nguyen Pheng

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