Cullen Norris Brock

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 11/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 03/2015 → 11/2017
  Bank Of America, N.A.
  Houston, TX
• 11/2018 → 05/2022
  Jpmorgan Securities Llc
  Houston, TX
• 11/2018 → 05/2022
  Jpmorgan Chase Bank, N.A.
  Houston, TX
• 12/2017 → 11/2018
  Sentinel Trust Company, Lba
  Houston, TX
• 06/2022 → Present
  Citigroup
  Houston, TX

Previous Registrations

• 2013-04-19 → 2017-11-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 2009-06-01 → 2013-05-02
  Morgan Stanley
  Houston, TX
  Houston, TX
  Houston, TX
  Houston, TX
• 2022-07-15 → 2010-06-30
  Citi Private Alternatives, Llc
  Denver, CO
  Houston, TX
  Los Angeles, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Houston, TX
• 2006-04-26 → 2007-04-02
  Morgan Stanley Dw Inc.
  Houston, TX

Exams

• S66 Uniform Combined State Law Examination
  2022-07-15

Other Names

• Cullen Brock
• Cullen Norris Brock
• Cullen N Brock