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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2024-02-14
  • NV RA
    APPROVED
    Since 2024-02-14

Branch Locations

Citi Wealth Management, Sales 10211 South Eastern Avenue, Henderson, NV 89052 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank, Na Las Vegas NV 02/2014 02/2018
Wells Fargo Clearing Services, Llc Las Vegas NV 02/2018 07/2020
Citigroup Las Vegas NV 10/2021 Present
Axos Bank Las Vegas NV 10/2020 01/2021
Bank Of Geroge Las Vegas NV 01/2021 06/2021
Credit Union1 Henderson NV 06/2021 10/2021
  • 02/2014 → 02/2018
    Wells Fargo Bank, Na
    Las Vegas, NV
  • 02/2018 → 07/2020
    Wells Fargo Clearing Services, Llc
    Las Vegas, NV
  • 10/2021 → Present
    Citigroup
    Las Vegas, NV
  • 10/2020 → 01/2021
    Axos Bank
    Las Vegas, NV
  • 01/2021 → 06/2021
    Bank Of Geroge
    Las Vegas, NV
  • 06/2021 → 10/2021
    Credit Union1
    Henderson, NV
Other Businesses

OA name: SPARK DRIVER, Nature: (PACKAGE DELIVERY AND COURIER SERVICES), (Investment-related: No, Location: Las Vegas, NV, started 11/3/2025), Title: PACKAGE COURIER, Duties: DELIVER ORDERS AND PACKAGES TO CUSTOMERS, Hours: (0 trading hours/month, 21-40 non-trading hours/month).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-02-12
S63 Uniform Securities Agent State Law Examination 2023-12-29
  • S65 Uniform Investment Adviser Law Examination
    2024-02-12
  • S63 Uniform Securities Agent State Law Examination
    2023-12-29
Other Names
  • Jose Rico
  • Jose Omar Rico

View on SEC IAPD

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