CITIGROUP GLOBAL MARKETS INC.
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CITIGROUP GLOBAL MARKETS INC.
(CRD# 7059)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Feb 1964.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$25.3 Billion,
with discretion over
54%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
14%
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CITIGROUP GLOBAL MARKETS INC.
also reported in
Mar 2019
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7855
employees,
with
3324
performing advisory functions.
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A total of 657 office locations.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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CITIGROUP GLOBAL MARKETS INC. has one or more disclosure events currently on file with the SEC.
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CITIGROUP GLOBAL MARKETS INC. has Notice Filings with the following State Securities Authorities:
AK-Jul 1993, AL-Apr 1993, AR-Apr 1993, AZ-Dec 2004, CA-Jul 1997
, CO-Feb 2001, CT-Jul 1997, DC-Jan 1994, DE-Aug 2003, FL-Apr 1991
, GA-Apr 1989, HI-Jun 1993, IA-Jan 1999, ID-Oct 1991, IL-Dec 1987
, IN-Feb 2001, KS-Sep 1997, KY-Jan 2004, LA-Oct 2001, MD-Oct 1990
, ME-Oct 1992, MI-Dec 2004, MN-Mar 1987, MO-Sep 1986, MS-Dec 2004
, MT-Dec 1997, NC-Jan 2001, ND-Feb 2001, NE-Jul 1997, NH-May 1993
, NJ-Aug 1994, NM-Aug 1991, NV-Nov 1990, NY-Jan 1974, OH-Dec 1999
, OK-Jan 1998, OR-Apr 2003, PA-Oct 1981, PR-Mar 2013, RI-Jan 1998
, SC-Aug 1993, SD-May 1993, TN-Oct 1997, TX-Oct 1998, UT-May 1993
, VA-Jul 1987, VI-Mar 2016, VT-Dec 1994, WA-Aug 1993, WI-Sep 1990
, WV-Sep 1997, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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