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Richard H Moorhead

Citigroup Global Markets Inc.

Mamaroneck, NY

Stamford, CT

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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-09-20
  • NY RA
    APPROVED
    Since 2021-09-20

Branch Locations

Cwm Retail, Sales 711 East Boston Post Road, Mamaroneck, NY 10543 • United States

Citi Wealth Management, Sales 750 Washington Blvd, Fl 7, Stamford, CT 06901 • 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
New York Life Insurance Company Stratford CT 09/2020 07/2021
Nylife Securities Llc Stratford CT 01/2021 07/2021
Sterling Aircraft Materials Islandia NY 01/2016 04/2020
Unemployed Stamford CT 04/2020 09/2020
Citibank Mamaroneck NY 07/2021 Present
  • 09/2020 → 07/2021
    New York Life Insurance Company
    Stratford, CT
  • 01/2021 → 07/2021
    Nylife Securities Llc
    Stratford, CT
  • 01/2016 → 04/2020
    Sterling Aircraft Materials
    Islandia, NY
  • 04/2020 → 09/2020
    Unemployed
    Stamford, CT
  • 07/2021 → Present
    Citibank
    Mamaroneck, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-09-17
S63 Uniform Securities Agent State Law Examination 2021-04-16
  • S65 Uniform Investment Adviser Law Examination
    2021-09-17
  • S63 Uniform Securities Agent State Law Examination
    2021-04-16
Other Names
  • Richard Harry Moorhead

View on SEC IAPD

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LPL FINANCIAL LLC
G-SQUARED ADVISORY LLC
TOPSPIN MANAGEMENT COMPANY LBO LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CETERA INVESTMENT ADVISERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BESPOKE INVESTMENT GROUP, LLC

Other Investors

Matthew E Trainor
Gabriel Carvalho
VIVIAN SPYROPOULOS
Michael Lentini
BRIAN ALLEN DOWERY
CYNTHIA GOLUB
LAURIE GIRSKY
Carla Gionika Rodriguez

Other Offices

J.P. MORGAN SECURITIES LLC · MAMARONECK, NY
LPL FINANCIAL LLC · MAMARONECK, NY
G-SQUARED ADVISORY LLC · MAMARONECK, NY
TOPSPIN MANAGEMENT COMPANY LBO LLC · MAMARONECK, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Mamaroneck, NY
CETERA INVESTMENT ADVISERS LLC · MAMARONECK, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MAMARONECK, NY
LPL FINANCIAL LLC · LARCHMONT, NY

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