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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
NY RA APPROVED 2021-08-17
CA RA APPROVED 2007-05-29
  • NY RA
    APPROVED
    Since 2021-08-17
  • CA RA
    APPROVED
    Since 2007-05-29

Branch Locations

Citi Wealth Management, Sales 38-18 Queens Boulevard, B, Long Island City, NY 11101 • United States

Citi Retail Banking 38-17 Main Street, Flushing, NY 11354 • United States

Dix Hills, NY • 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. Flushing NY 05/2007 Present
Previous Registrations
  • 2005-07-15 → 2007-05-29
    Citicorp Investment Services
    Flushing, NY
    Flushing, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-16
S63 Uniform Securities Agent State Law Examination 1993-02-03
  • S65 Uniform Investment Adviser Law Examination
    2005-06-16
  • S63 Uniform Securities Agent State Law Examination
    1993-02-03
Other Names
  • Yihui Lin

View on SEC IAPD

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