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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 2022-09-06
  • NY RA
    APPROVED
    Since 2022-09-06

Branch Locations

Citi Wealth Management, Sales 153 E. 53Rd Street Aka 601 Lexington Ave, New York, NY 10022 • United States

Cwm Retail, Sales 660 Fifth Ave, New York, NY 10103 • United States

Cwm Retail, Sales 388 Greenwich Street - 1 & 24Th Fl, New York, NY 10013 • United States

Cwm Retail, Sales 528-530 Laguardia Place, New York, NY 10012 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank Staten Island NY 05/2011 06/2021
Jp Morgan Securities Llc Staten Island NY 01/2013 06/2021
Jpmorgan Chase Bank N.A. Staten Island NY 09/2021 07/2022
Jp Morgan Securities Llc Staten Island NY 09/2021 07/2022
Unemployment Staten Island NY 07/2021 08/2021
Citigroup New York NY 09/2022 Present
  • 05/2011 → 06/2021
    Jpmorgan Chase Bank
    Staten Island, NY
  • 01/2013 → 06/2021
    Jp Morgan Securities Llc
    Staten Island, NY
  • 09/2021 → 07/2022
    Jpmorgan Chase Bank N.A.
    Staten Island, NY
  • 09/2021 → 07/2022
    Jp Morgan Securities Llc
    Staten Island, NY
  • 07/2021 → 08/2021
    Unemployment
    Staten Island, NY
  • 09/2022 → Present
    Citigroup
    New York, NY
Other Businesses

CENO Real Estate LLC; Investment-related; Nature: Buy and rent single family house; Staten Island NY; Started: February 15, 2025; Title: Owner; Duties: Buy a home and rent it; No time is devoted each month during securities trading hours; 1-5 hours are devoted each month outside of securities trading hours.///

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-10
S63 Uniform Securities Agent State Law Examination 2013-04-15
  • S66 Uniform Combined State Law Examination
    2022-05-10
  • S63 Uniform Securities Agent State Law Examination
    2013-04-15
Other Names
  • Cazimar E Nieves
  • Cazimer Nieves
  • Caz Nieves
  • Cazimar Ernesto Nieves

View on SEC IAPD

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