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James Dunphy

Citigroup Global Markets Inc.

Greenwich, CT

New City, NY

Orangeburg, NY

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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-06-29
NY RA APPROVED 2024-10-15
  • TX RA
    APPROVED_RES
    Since 2026-06-29
  • NY RA
    APPROVED
    Since 2024-10-15

Branch Locations

Citi Wealth Management, Sales 14-18 Railroad Avenue, Greenwich, CT 06830 • United States

Cwm Retail, Sales 170 N. Main Street, New City, NY 10956 • United States

Orangeburg, 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
Jpmorgan Chase Bank New City NY 04/2011 Present
Jpmorgan Securities Llc New City NY 01/2013 Present
Pier 701 Tappan NY 07/2013 12/2016
La Terrazza New York NY 10/2016 Present
Citigroup New City NY 08/2018 Present
  • 04/2011 → Present
    Jpmorgan Chase Bank
    New City, NY
  • 01/2013 → Present
    Jpmorgan Securities Llc
    New City, NY
  • 07/2013 → 12/2016
    Pier 701
    Tappan, NY
  • 10/2016 → Present
    La Terrazza
    New York, NY
  • 08/2018 → Present
    Citigroup
    New City, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-05-04
S63 Uniform Securities Agent State Law Examination 2013-05-09
  • S65 Uniform Investment Adviser Law Examination
    2021-05-04
  • S63 Uniform Securities Agent State Law Examination
    2013-05-09
Other Names
  • James Iv Dunphy

View on SEC IAPD

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Other Offices

PARSIFAL CAPITAL MANAGEMENT, LP · GREENWICH, CT
MARCH ALTUS CAPITAL MANAGEMENT LP · GREENWICH, CT
BRX GLOBAL · GREENWICH, CT
MORGAN STANLEY · Greenwich, CT
MAIN STREET RESEARCH LLC · Greenwich, CT
ENDEAVOUR CAPITAL ADVISORS INC. · GREENWICH, CT
AXIOM ASSET ADVISORS, LLC · GREENWICH, CT
SEARLE & CO. · GREENWICH, CT

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