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Thomas Brown

Citigroup Global Markets Inc.

Scarsdale, NY

Stamford, CT

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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 2022-09-20
  • NY RA
    APPROVED
    Since 2022-09-20

Branch Locations

Cwm Retail, Sales 725 White Plains Road, Scarsdale, NY 10583 • United States

Citi Wealth Management, Sales 750 Washington Blvd, Fl 7, Stamford, CT 06901 • 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
Capital One Bank Bronxville NY 08/2016 05/2018
Jpmorgan Securities Llc Bronxville NY 04/2018 07/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 07/2021 05/2022
Citigroup Scarsdale NY 06/2022 Present
  • 08/2016 → 05/2018
    Capital One Bank
    Bronxville, NY
  • 04/2018 → 07/2021
    Jpmorgan Securities Llc
    Bronxville, NY
  • 07/2021 → 05/2022
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New York, NY
  • 06/2022 → Present
    Citigroup
    Scarsdale, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-20
S63 Uniform Securities Agent State Law Examination 2018-06-15
  • S66 Uniform Combined State Law Examination
    2022-09-20
  • S63 Uniform Securities Agent State Law Examination
    2018-06-15
Other Names
  • Thomas A Brown
  • Thomas Anthony Brown
  • Thomas Brown

View on SEC IAPD

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JOHN ANDREW SANFILIPPO
DANIEL STEPHEN GIUNTINI
Rita Esquenazi
JARED MARK PICHE
Jimmy Hernandez
INDIRA CELENY VALLADARES

Other Offices

J.P. MORGAN SECURITIES LLC · SCARSDALE, NY
CHARLES SCHWAB & CO., INC. · Scarsdale, NY
RATIONALWAVE ASSOCIATES CORP. · SCARSDALE, NY
WELLS FARGO CLEARING SERVICES, LLC · SCARSDALE, NY
J.P. MORGAN SECURITIES LLC · SCARSDALE, NY
J.P. MORGAN SECURITIES LLC · Scarsdale, NY
IROQUOIS CAPITAL MANAGEMENT, LLC · SCARSDALE, NY
SPRINGVIEW CAPITAL MANAGEMENT LP · SCARSDALE, NY

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