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Employer firm

Citigroup Global Markets Inc. CRD 7059

$56.0B regulatory AUM 2,481 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-06-30
FL RA APPROVED 2007-05-29
  • TX RA
    APPROVED_RES
    Since 2026-06-30
  • FL RA
    APPROVED
    Since 2007-05-29

Branch Locations

Cwm Retail, Sales 502 Brickell Avenue, Miami, FL 33131 • United States

Citi Wealth Management, Sales 201 S. Biscayne Blvd, Suite 100, Miami, FL 33131 • United States

Coral Gables, FL • 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. Miami FL 05/2007 Present
Previous Registrations
  • 2004-11-01 → 2007-05-29
    Citicorp Investment Services
    Miami, FL
    Miami, FL
Other Businesses

Rental Property - Miami, FL (6870); Investment-related; Affiliation started 11/02/2000; Title: Owner; Duties: Landlord/Collect Rent; No time is devoted to the rental each month during security trading hours; 1 hour is devoted to the rental each month outside of security trading hours. /////Rental Property - Miami, FL (6845); Investment-related; Affiliation started 11/02/2000; Title: Owner; Duties: Landlord/Collect Rent; No time is devoted to the rental each month during security trading hours; 1 hour is devoted to the rental each month outside of security trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-28
S63 Uniform Securities Agent State Law Examination 1994-05-17
  • S66 Uniform Combined State Law Examination
    2004-10-28
  • S63 Uniform Securities Agent State Law Examination
    1994-05-17

View on SEC IAPD

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