# CITIGROUP GLOBAL MARKETS INC.

> FINRA firm 7059 · ACTIVE · **⚠ HAS DISCLOSURE EVENTS** · NEW YORK, NY

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 7059
- **Firm name:** CITIGROUP GLOBAL MARKETS INC.
- **Other names:** 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
- **Investment Adviser scope:** ACTIVE
- **SEC IA file number:** 801-3387
- **SEC BD file number:** 8-8177
- **Branches:** 2875
- **Has disclosure events:** YES
- **Headquarters:** NEW YORK, NY, 10013, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/7059

## Citation

> FINRA BrokerCheck, firm 7059 (CITIGROUP GLOBAL MARKETS INC.). Retrieved via AI Analytics 2026-06-25 from https://api.ai-analytics.org/broker/7059.

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