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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-06
  • CA RA
    APPROVED
    Since 2025-01-06

Branch Locations

Citi Private Bank 300 South Grand Avenue, 31St Floor, Suite 3130, Los Angeles, CA 90071 • United States

Simi Valley, CA • 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
Wells Fargo Bank, Na Los Angeles CA 08/2014 07/2019
Wells Fargo Advisors, Llc Los Angeles CA 10/2014 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 07/2019
Citigroup Calabasas CA 07/2019 01/2022
City National Bank Woodland Hills CA 01/2022 01/2025
Citigroup Los Angeles CA 01/2025 Present
  • 08/2014 → 07/2019
    Wells Fargo Bank, Na
    Los Angeles, CA
  • 10/2014 → 11/2016
    Wells Fargo Advisors, Llc
    Los Angeles, CA
  • 11/2016 → 07/2019
    Wells Fargo Clearing Services, Llc
    Los Angeles, CA
  • 07/2019 → 01/2022
    Citigroup
    Calabasas, CA
  • 01/2022 → 01/2025
    City National Bank
    Woodland Hills, CA
  • 01/2025 → Present
    Citigroup
    Los Angeles, CA
Previous Registrations
Other Businesses

RENTAL SINGLE-FAMILY PROPERTY, INV RELATED, OXNARD, CA, 100% OWNER, START: 9/10/2016, 10 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD OA name: (IHSS) -In-home support services for my mother that resides in my home, Nature: receive income for providing care for my mother (Investment-related: No, Location: Simi Valley, CA, started 06/22/2022), Title: care provider, Duties: Keep track of mother's medicine, dietary needs, and overall health, Hours: (0 during trading hours/month, 41+ during non-trading hours/month).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-31
S63 Uniform Securities Agent State Law Examination 2014-04-03
  • S66 Uniform Combined State Law Examination
    2025-03-31
  • S63 Uniform Securities Agent State Law Examination
    2014-04-03
Designations
Other Names
  • Si Doan
  • Tan Si Doan

View on SEC IAPD

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