Charles Jospeh Cavanaugh

Citigroup Global Markets Inc.

West Orange, NJ

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Current Employers

Citigroup Global Markets Inc.

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-17
NJ	RA	APPROVED	2017-09-15

NY RA
APPROVED

Since 2021-08-17
NJ RA
APPROVED

Since 2017-09-15

Branch Locations

Citi Wealth Management, National Sales 388 Greenwich St., 22Nd Fl & 24Th Fl, New York, NY 10013 • United States

West Orange, NJ • 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

Organization	City	State	From	To
Massmutual Life Insurance Company	Bridgewater	NJ	03/2015	09/2016
Mml Investors Services Llc	Bridgewater	NJ	04/2015	09/2016
The Leaders Group Inc	Littleton	CO	09/2016	02/2017
Ldx Global	Buffalo Grove	IL	09/2016	02/2017
Harris-Hersh Financial Inc	Buffalo Grove	IL	09/2016	02/2017
Allstate Distributors Llc	Northbrook	IL	03/2017	Present
Allstate Life Insurance Co	Northbrook	IL	03/2017	Present
Citigroup Global Markets	Long Island City	NY	09/2017	Present

03/2015 → 09/2016

Massmutual Life Insurance Company

Bridgewater, NJ
04/2015 → 09/2016

Mml Investors Services Llc

Bridgewater, NJ
09/2016 → 02/2017

The Leaders Group Inc

Littleton, CO
09/2016 → 02/2017

Ldx Global

Buffalo Grove, IL
09/2016 → 02/2017

Harris-Hersh Financial Inc

Buffalo Grove, IL
03/2017 → Present

Allstate Distributors Llc

Northbrook, IL
03/2017 → Present

Allstate Life Insurance Co

Northbrook, IL
09/2017 → Present

Citigroup Global Markets

Long Island City, NY

Previous Registrations

2017-04-25 → 2017-09-08

Allstate Financial Advisors, Llc

Northbrook, IL
2016-11-09 → 2017-03-16

Tlg Advisors, Inc.

Buffalo Grove, IL

Summit, NJ
2015-04-15 → 2016-09-28

Mml Investors Services, Llc

Warren, NJ
2013-10-16 → 2015-03-31

Ubs Financial Services Inc.

Weehawken, NJ
2009-06-01 → 2013-04-08

Morgan Stanley

Purchase, NY
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

New York, NY
2006-11-28 → 2007-04-02

Morgan Stanley Dw Inc.

Purchase, NY
2004-09-28 → 2006-11-13

Mml Investors Services, Llc

Shelton, CT

Greenwich, CT
2004-01-09 → 2004-08-24

Citigroup Global Markets Inc.

Greenwich , CT
2002-09-13 → 2004-01-14

A. G. Edwards & Sons, Inc.

Danbury, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-08-05

S66 Uniform Combined State Law Examination

2002-08-05

Other Names

Charles Joseph Cavanaugh
Chuck Cavanaugh

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY

P2 CAPITAL PARTNERS, LLC · NEW YORK, NY

KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY

BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY

ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY

COMPASS GROUP LLC · NEW YORK, NY

CRESTVIEW PARTNERS · NEW YORK, NY

LEEDS EQUITY PARTNERS · NEW YORK, NY

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