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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 2012-12-06
IL RA APPROVED 2007-05-29
  • TX RA
    APPROVED_RES
    Since 2012-12-06
  • IL RA
    APPROVED
    Since 2007-05-29

Branch Locations

Cwm Retail, Sales 601 N. Martingale Road, Schaumburg, IL 60173 • United States

Cwm Retail, Sales 1900 Spring Road, Oak Brook, IL 60523 • United States

Citi Wealth Management, Sales 227 West Monroe St, Chicago, IL 60606 • United States

Homer Glen, IL • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Oakbrook IL 05/2007 Present
Previous Registrations
  • 2001-08-31 → 2007-05-29
    Citicorp Investment Services
    Oak Brook, IL
    Oakbrook, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-06-11
S63 Uniform Securities Agent State Law Examination 1990-03-21
  • S65 Uniform Investment Adviser Law Examination
    2001-06-11
  • S63 Uniform Securities Agent State Law Examination
    1990-03-21

View on SEC IAPD

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