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Ming Wai Connie Kwok

Citigroup Global Markets Inc.

Arcadia, CA

Fountain Valley, CA

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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 2022-04-07
  • CA RA
    APPROVED
    Since 2022-04-07

Branch Locations

Cwm Retail, Sales 100 South First Street, Arcadia, CA 91006 • United States

Citi Wealth Management, Sales 17400 Brookhurst St., Ste 200, Fountain Valley, CA 92708 • 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
Citigroup Arcadia CA 07/2016 05/2022
Citigroup Arcadia CA 05/2022 Present
  • 07/2016 → 05/2022
    Citigroup
    Arcadia, CA
  • 05/2022 → Present
    Citigroup
    Arcadia, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-07
  • S66 Uniform Combined State Law Examination
    2022-04-07
Other Names
  • Connie Kwok
  • Connie Kwok
  • Mingwai Connie Kwok

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Arcadia, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ARCADIA, CA
J.P. MORGAN SECURITIES LLC · ARCADIA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · ARCADIA, CA
LPL FINANCIAL LLC · ARCADIA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Arcadia, CA
AMERIPRISE FINANCIAL SERVICES, LLC · ARCADIA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Arcadia, CA

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