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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 2025-05-28
CA RA APPROVED 2008-05-12
  • TX RA
    APPROVED_RES
    Since 2025-05-28
  • CA RA
    APPROVED
    Since 2008-05-12

Branch Locations

Citi Wealth Management, Sales 285 South Lake Avenue, Pasadena, CA 91101 • United States

Cwm Retail, Sales 2450 Glendale Blvd., Los Angeles, CA 90039 • United States

Cwm Retail, Sales 742-744 Foothill Boulevard, La Canada Flintridge, CA 91011 • United States

Glendale, CA • 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 Glendale CA 04/2008 Present
  • 04/2008 → Present
    Citigroup Global Markets
    Glendale, CA
Previous Registrations
  • 2005-01-04 → 2008-04-24
    Wamu Investments, Inc.
    Valencia, CA
    Calabasas, CA
    Agoura Hills, CA
    Calabasas, CA
  • 2003-07-21 → 2004-09-30
    Pmb Securities Corp.
    Newport Beach, CA
  • 2001-06-15 → 2003-01-27
    Morgan Stanley Dw Inc.
    Glendale, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-21
S63 Uniform Securities Agent State Law Examination 1999-06-21
  • S65 Uniform Investment Adviser Law Examination
    2000-07-21
  • S63 Uniform Securities Agent State Law Examination
    1999-06-21
Other Names
  • Ricardo E Higuchi

View on SEC IAPD

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