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Guozhen Zhao

Citigroup Global Markets Inc.

Great Neck, NY

Plainview, NY

Holbrook, NY

Plainview, NY

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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 2022-08-12
  • NY RA
    APPROVED
    Since 2022-08-12

Branch Locations

Cwm Retail, Sales 111 Great Neck Road, Great Neck, NY 11021 • United States

Plainview, NY • United States

Citi Wealth Management, Sales 5801 Sunrise Highway, Holbrook, NY 11747 • United States

Plainview, 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
The Prudential Insurance Company Of America Flushing NY 08/2012 03/2017
Pruco Securities, Llc Flushing NY 08/2012 03/2017
Hsbc Bank Usa Na Elmhurst NY 03/2017 03/2019
Hsbc Securities Usa Inc. Elmhurst NY 04/2017 03/2019
Noble Fertility Center New York NY 01/2015 03/2017
Hsbc Securities Usa Inc. New York NY 03/2019 03/2022
Hsbc Bank Usa Na New York NY 03/2019 03/2022
Citigroup New York NY 04/2022 Present
  • 08/2012 → 03/2017
    The Prudential Insurance Company Of America
    Flushing, NY
  • 08/2012 → 03/2017
    Pruco Securities, Llc
    Flushing, NY
  • 03/2017 → 03/2019
    Hsbc Bank Usa Na
    Elmhurst, NY
  • 04/2017 → 03/2019
    Hsbc Securities Usa Inc.
    Elmhurst, NY
  • 01/2015 → 03/2017
    Noble Fertility Center
    New York, NY
  • 03/2019 → 03/2022
    Hsbc Securities Usa Inc.
    New York, NY
  • 03/2019 → 03/2022
    Hsbc Bank Usa Na
    New York, NY
  • 04/2022 → Present
    Citigroup
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-12
S63 Uniform Securities Agent State Law Examination 2013-01-03
  • S66 Uniform Combined State Law Examination
    2022-08-12
  • S63 Uniform Securities Agent State Law Examination
    2013-01-03

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GREAT NECK, NY
STONE HILL FIDUCIARY MANAGEMENT, LLC · GREAT NECK, NY
PALUMBO WEALTH MANAGEMENT LLC · GREAT NECK, NY
ALLSTATE FINANCIAL ADVISORS, LLC · Manhasset, NY
WEALTHUNITE ADVISORS, LLC · MANHASSET, NY
HALO INVESTMENT SERVICES, LLC · MANHASSET, NY
MSM FINANCIAL STRATEGIES · MANHASSET, NY
KPOINT CAPITAL LLC · MANHASSET, NY

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