Alan Jay Goldberg

Current Employers

Citigroup Global Markets Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-12-06
CA	RA	APPROVED	2007-05-29

TX RA
APPROVED_RES

Since 2012-12-06
CA RA
APPROVED

Since 2007-05-29

Branch Locations

Citi Wealth Management, Sales 17400 Brookhurst St. Suite 200, Fountain Valley, CA 92708 • United States

Citi Retail Banking 740 S. Rancho Santa Fe Road, San Marcos, CA 92078 • United States

Citi Retail Banking 1505 East Valley Parkway, Escondido, CA 92027 • United States

San Diego, CA • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Citigroup Global Markets Inc.	Escondido	CA	05/2007	Present

05/2007 → Present

Citigroup Global Markets Inc.

Escondido, CA

Previous Registrations

2003-10-06 → 2007-05-29

Citicorp Investment Services

Escondido, CA

Escondido, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-10-17
S63	Uniform Securities Agent State Law Examination	1981-04-18

S65 Uniform Investment Adviser Law Examination

2005-10-17
S63 Uniform Securities Agent State Law Examination

1981-04-18

Other Names

A J Goldberg

View on SEC IAPD

Current Employers

Citigroup Global Markets Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews