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Enrique Ulloa

Citigroup Global Markets Inc.

Whittier, CA

Fountain Valley, CA

La Puente, CA

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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-04-13
  • CA RA
    APPROVED
    Since 2020-04-13

Branch Locations

Cwm Retail, Sales 15410 Whittier Blvd., Whittier, CA 90603 • United States

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

La Puente, CA • United States

Disclosures

2 disclosure categories 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Pasadena CA 03/2016 11/2016
Wells Fargo Clearing Services, Llc Pasadena CA 11/2016 01/2020
Citigroup Global Markets Inc. (Crd #7059) Downey CA 03/2020 Present
  • 03/2016 → 11/2016
    Wells Fargo Advisors, Llc
    Pasadena, CA
  • 11/2016 → 01/2020
    Wells Fargo Clearing Services, Llc
    Pasadena, CA
  • 03/2020 → Present
    Citigroup Global Markets Inc. (Crd #7059)
    Downey, CA
Previous Registrations
  • 2016-04-01 → 2020-02-05
    Wells Fargo Clearing Services, Llc
    Los Angeles, CA
    Pasadena, CA
    Azusa, CA
    Pasadena, CA
    Monterey Park, CA
    Upland, CA
    Azusa, CA
    Chino, CA
  • 2011-07-01 → 2016-04-18
    Citigroup Global Markets Inc.
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    San Francisco, CA
    Fountain Valley, CA
    Pasadena, CA
    San Antonio, TX
    Pasadena, CA
    La Canada-Flintridge, CA
  • 2009-10-23 → 2011-06-22
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Westlake Village, CA
    Oxnard, CA
  • 2007-04-09 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Oxnard, CA
    Westlake Village, CA
  • 2005-10-18 → 2007-04-03
    Wamu Investments, Inc.
    Oxnard, CA
    Port Hueneme, CA
    Carpinteria, CA
    Oxnard, CA
    Oxnard, CA
    Ventura, CA
    Oxnard, CA
  • 2004-07-01 → 2005-10-07
    Wells Fargo Investments, Llc
    Orange, CA
  • 2003-03-28 → 2004-06-18
    Cetera Investment Services Llc
    Santa Barbara, CA
  • 2000-01-31 → 2002-08-21
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Santa Barbara, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-22
  • S66 Uniform Combined State Law Examination
    1999-12-22

View on SEC IAPD

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