CITIGROUP GLOBAL MARKETS INC. ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 7059
- Firm name
- CITIGROUP GLOBAL MARKETS INC.
- Other names / DBAs
- CAPITAL MANAGEMENT DIVISION; TRAK FOR MUTUAL FUND AT NET ASSET VALUE; TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS; SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE; SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED; SMITH BARNEY SHEARSON INC.; SMITH BARNEY INC.; SMITH BARNEY ASSET MANAGEMENT; SMITH BARNEY; SB ADVISOR; SALOMON SMITH BARNEY INC.; SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM; PORTFOLIO MANAGEMENT GROUP; PEACHTREE ASSET MANAGEMENT; OFFSHORE TRAK; MYFI FINANCIAL WELLNESS PROGRAM; LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES; INVESTMENT MANAGEMENT SERVICES; INVESTMENT ADVISORY SERVICES; INVESTMENT ADVISORS; INSTITUTIONAL SERVICES; GUIDED PORTFOLIO MANAGEMENT PROGRAM; FIRST MADISON ADVISORS; FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM; FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM; DIVERSIFIED STRATEGIC PORTFOLIOS; DAVIS SKAGGS INVESTMENT MANAGEMENT; CONSULTING AND EVALUATION SERVICES; CITIGROUP GLOBAL MARKETS INC.; CITIGROUP ASSET MANAGEMENT; CITI PRIVATE BANK; CITI PERSONAL WEALTH MANAGEMENT; CITI PERSONAL INVESTMENTS INTERNATIONAL; CITI INVESTMENT MANAGEMENT; CITI INSTITUTIONAL CONSULTING; CITI GLOBAL WEALTH AT WORK
- IA scope
- ACTIVE
- SEC IA file
- 801-3387
- SEC BD file
- 8-8177
- Branches
- 2875
- Disclosure events
- YES
- HQ
- NEW YORK, NY, 10013, United States
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