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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-05-29
  • CA RA
    APPROVED
    Since 2007-05-29

Branch Locations

Cwm Retail, Sales 1011 South Victoria Avenue, Ventura, CA 93003 • United States

Cwm Retail, Sales 739 West Channels Islands Blvd., Port Hueneme, CA 93041 • United States

Citi Wealth Management, Sales 2170 Newbury Road, Newbury Park, CA 91320 • United States

Cwm Retail, Sales 430 Arneill Road, Camarillo, CA 93010 • United States

Oxnard, CA • United States

Disclosures

2 disclosure categories 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 Yes
  • 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. Ventura CA 05/2007 Present
Previous Registrations
  • 2003-12-19 → 2007-05-29
    Citicorp Investment Services
    Ventura, CA
    Long Island City, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-24
S63 Uniform Securities Agent State Law Examination 1995-03-03
  • S65 Uniform Investment Adviser Law Examination
    1995-03-24
  • S63 Uniform Securities Agent State Law Examination
    1995-03-03

View on SEC IAPD

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