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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
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

Cwm Retail, Sales 16800 Devonshire Street, Granada Hills, CA 91344 • United States

Citi Wealth Management, Sales 2170 Newbury Road, Newbury Park, CA 91320 • United States

Granada Hills, 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
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Granada Hills CA 05/2007 Present
Previous Registrations
  • 2004-01-08 → 2007-05-29
    Citicorp Investment Services
    Granada Hills, CA
    Granada Hills, CA
Other Businesses

Rental Property - Sherman Oaks/ Van Nuys, CA; Investment-related; Affiliation started on 10/23/2020; Title: Owner; Duties Property Owner; 0 hours devoted each month during securities trading hours; 2 hours devoted each month outside securities trading hours.///// Rental Property - Porter Ranch, CA; Investment-related; Affiliation started on 12/08/2020; Title: Owner; Duties; Pay mortgage, taxes, insurance and other expenses and collect rent; 0 hours devoted each month during securities trading hours; 1 hour devoted each month outside securities trading hours.///// Rental Property - Sherman Oaks, CA; Investment-related; Affiliation started on 11/04/2021; Title: Owner: Duties: Collect rent and call repair person when necessary; 0 hours devoted each month during securities trading hours; 3 hours devoted each month outside securities trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-12-09
S63 Uniform Securities Agent State Law Examination 1999-01-27
  • S65 Uniform Investment Adviser Law Examination
    2003-12-09
  • S63 Uniform Securities Agent State Law Examination
    1999-01-27

View on SEC IAPD

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