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Investment Adviser Firm Summary

CITIGROUP GLOBAL MARKETS INC. (CRD# 7059 / SEC# 8-8177, 801-3387)
Alternate Names: CAPITAL MANAGEMENT DIVISION , CITI INSTITUTIONAL CONSULTING , CITI INVESTMENT MANAGEMENT , CITI PERSONAL INVESTMENTS INTERNATIONAL , CITI PERSONAL WEALTH MANAGEMENT , CITI PRIVATE BANK , CITIGROUP ASSET MANAGEMENT , CITIGROUP GLOBAL MARKETS INC. , CONSULTING AND EVALUATION SERVICES , DAVIS SKAGGS INVESTMENT MANAGEMENT , DIVERSIFIED STRATEGIC PORTFOLIOS , FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM , FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM , FIRST MADISON ADVISORS , GUIDED PORTFOLIO MANAGEMENT PROGRAM , INSTITUTIONAL SERVICES , INVESTMENT ADVISORS , INVESTMENT ADVISORY SERVICES , INVESTMENT MANAGEMENT SERVICES , LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES , MYFI FINANCIAL WELLNESS PROGRAM , OFFSHORE TRAK , PEACHTREE ASSET MANAGEMENT , PORTFOLIO MANAGEMENT GROUP , SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM , SALOMON SMITH BARNEY INC. , SB ADVISOR , SMITH BARNEY , SMITH BARNEY ASSET MANAGEMENT , SMITH BARNEY INC. , SMITH BARNEY SHEARSON INC. , SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED , SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE , TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS , TRAK FOR MUTUAL FUND AT NET ASSET VALUE

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/23/1964

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/07/1993
Alaska 07/30/1993
Arizona 12/17/2004
Arkansas 04/29/1993
California 07/08/1997
Colorado 02/28/2001
Connecticut 07/15/1997
Delaware 08/27/2003
District of Columbia 01/24/1994
Florida 04/17/1991
Georgia 04/03/1989
Hawaii 06/03/1993
Idaho 10/09/1991
Illinois 12/28/1987
Indiana 02/06/2001
Iowa 01/01/1999
Kansas 09/12/1997
Kentucky 01/02/2004
Louisiana 10/16/2001
Maine 10/09/1992
Maryland 10/08/1990
Michigan 12/17/2004
Minnesota 03/20/1987
Mississippi 12/17/2004
Missouri 09/04/1986
Montana 12/01/1997
Nebraska 07/31/1997
Nevada 11/30/1990
New Hampshire 05/12/1993
New Jersey 08/06/1994
New Mexico 08/21/1991
New York 01/01/1974
North Carolina 01/23/2001
North Dakota 02/08/2001
Ohio 12/07/1999
Oklahoma 01/01/1998
Oregon 04/15/2003
Pennsylvania 10/27/1981
Puerto Rico 03/28/2013
Rhode Island 01/01/1998
South Carolina 08/19/1993
South Dakota 05/27/1993
Tennessee 10/09/1997
Texas 10/15/1998
Utah 05/19/1993
Vermont 12/19/1994
Virgin Islands 03/29/2016
Virginia 07/29/1987
Washington 08/02/1993
West Virginia 09/18/1997
Wisconsin 09/07/1990
Wyoming 07/11/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser