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Detailed Report
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1982 - 2009 (27 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2009 (7 years)
Disclosure(s)
View By:
3/12/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/21/2011
B
Nevada 4/17/2024
B
Arizona 9/22/2015
B
New Jersey 1/21/2011
B
Arkansas 2/11/2011
B
New York 1/21/2011
B
California 1/21/2011
B
North Carolina 1/21/2011
B
Colorado 1/21/2011
IA
North Carolina 1/21/2011
B
District of Columbia 5/6/2014
B
Ohio 1/21/2011
B
Florida 1/21/2011
B
Oklahoma 9/24/2020
B
Georgia 1/21/2011
B
Oregon 12/12/2012
B
Illinois 1/21/2011
B
Pennsylvania 1/21/2011
B
Iowa 5/2/2019
B
South Carolina 1/21/2011
B
Kansas 3/1/2018
B
Tennessee 1/21/2011
B
Louisiana 1/23/2025
B
Texas 1/21/2011
B
Maine 6/25/2021
IA
Texas 4/16/2014
B
Maryland 1/21/2011
B
Virginia 1/21/2011
B
Massachusetts 1/21/2011
B
Washington 1/21/2011
B
Mississippi 7/29/2019
B
West Virginia 9/5/2019
B
Missouri 2/25/2014
B
Wisconsin 1/21/2011
B
Montana 1/21/2011

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STEPHENS (CRD#:3496)
Winston-Salem, NC
Registered with this firm since 1/21/2011
B
STEPHENS (CRD#:3496)
Winston-Salem, NC
Registered with this firm since 1/21/2011
Previous Registration(s)
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IA
 06/01/2009 - 02/07/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) WINSTON-SALEM, NC
B
 06/01/2009 - 02/07/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) WINSTON-SALEM, NC
IA
 12/31/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WINSTON-SALEM, NC
B
 04/29/1982 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WINSTON-SALEM, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.