Dennis Mai

Citigroup Global Markets Inc.

Grenada Hills, CA

CRD 6378068

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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

Authority	Category	Status	Date
CA	RA	APPROVED	2015-09-16

CA RA
APPROVED

Since 2015-09-16

Branch Locations

16800 Devonshire Street, Grenada Hills, CA 91344 • United States

388 Greenwich Street Tower Building, New York, NY 10013 • 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

Organization	City	State	From	To
Citigroup	Granada Hills	CA	08/2008	Present

08/2008 → Present

Citigroup

Granada Hills, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-09-14
S63	Uniform Securities Agent State Law Examination	2015-07-27

S65 Uniform Investment Adviser Law Examination

2015-09-14
S63 Uniform Securities Agent State Law Examination

2015-07-27

View on SEC IAPD

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