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Carolyn Uriarte

Citigroup Global Markets Inc.

Miami, FL

Miami, FL

CRD 5627024

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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
FL RA APPROVED 2019-05-10
  • FL RA
    APPROVED
    Since 2019-05-10

Branch Locations

Citi Private Bank 201 S. Biscayne Blvd, Fl 31 Ste 3100 & Fl 33 Ste 3, Miami, FL 33131 • United States

Miami, FL • 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
OrganizationCityStateFromTo
Hsbc Securities Inc Miami FL 07/2010 12/2018
Citi Private Bank Miami FL 12/2018 Present
  • 07/2010 → 12/2018
    Hsbc Securities Inc
    Miami, FL
  • 12/2018 → Present
    Citi Private Bank
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-09
S63 Uniform Securities Agent State Law Examination 2014-02-07
  • S66 Uniform Combined State Law Examination
    2019-05-09
  • S63 Uniform Securities Agent State Law Examination
    2014-02-07

View on SEC IAPD

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