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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-17
NJ RA APPROVED 2020-09-30
  • NY RA
    APPROVED
    Since 2021-08-17
  • NJ RA
    APPROVED
    Since 2020-09-30

Branch Locations

Yonkers, NY • United States

Citi Private Bank 153 East 53Rd St., 24Th, 25Th Fls, New York, NY 10022 • 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
Jp Morgan Securities Llc New York NY 04/2017 10/2017
Jp Morgan Chase Bank New York NY 04/2017 10/2017
Citibank N.A. New York NY 04/2015 03/2017
Lh Wellbeing Care New York NY 04/2016 04/2017
Lh Wellbeing Care Inc New York NY 04/2016 Present
Citigroup New York NY 10/2017 Present
  • 04/2017 → 10/2017
    Jp Morgan Securities Llc
    New York, NY
  • 04/2017 → 10/2017
    Jp Morgan Chase Bank
    New York, NY
  • 04/2015 → 03/2017
    Citibank N.A.
    New York, NY
  • 04/2016 → 04/2017
    Lh Wellbeing Care
    New York, NY
  • 04/2016 → Present
    Lh Wellbeing Care Inc
    New York, NY
  • 10/2017 → Present
    Citigroup
    New York, NY
Previous Registrations
  • 2021-12-08 → 2010-06-30
    Citi Private Alternatives, Llc
    Yonkers, NY
    New York, NY
    New York, NY
Other Businesses

DM Realty LLC; Home Improvement; Non-Investment Related; New York, NY; Affiliation Start Date: 5/20/2019; Co-Owner; I will just invest my funds with no other duties; 0 hours devoted to the outside business each month during securities trading hours; 3 hours devoted to the outside business each month outside of securities trading hours. ///// S&A Unified Home Care, INC.; Healthcare; Not investment-related; New York, NY; Affiliation started 06/01/2020; Caregiver; Make doctor appointments, medication reminder, taking walks, cooking and light housework; No time devoted during securities trading hours; 148 hours devoted each month outside securities trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-24
S63 Uniform Securities Agent State Law Examination 2017-05-25
  • S65 Uniform Investment Adviser Law Examination
    2020-08-24
  • S63 Uniform Securities Agent State Law Examination
    2017-05-25

View on SEC IAPD

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