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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1986 - 1988 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (7 years)
Disclosure(s)
View By:
6/10/2010
Customer Dispute
Denied
4/22/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 6/1/2009
B
Missouri 3/16/2021
B
Arkansas 6/1/2009
B
New Hampshire 4/22/2020
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
IA
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 4/25/2017
B
North Carolina 3/27/2017
B
District of Columbia 3/6/2017
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
South Carolina 6/4/2019
IA
Florida 12/7/2011
B
Tennessee 3/16/2021
B
Georgia 6/1/2009
B
Texas 6/1/2009
B
Illinois 6/9/2021
IA
Texas 4/15/2020
B
Indiana 2/16/2022
B
Utah 1/13/2016
B
Louisiana 6/1/2009
B
Vermont 6/1/2009
B
Maryland 6/1/2009
B
Virginia 6/1/2009
B
Massachusetts 11/16/2015
B
Washington 3/9/2022
B
Michigan 12/3/2013
B
Wisconsin 2/16/2022
B
Minnesota 2/16/2022
B
Wyoming 4/6/2022
B
Mississippi 12/15/2023

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
MORGAN STANLEY (CRD#:149777)
Beach Haven, NJ
Cherry Hill, NJ
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Beach Haven, NJ
Cherry Hill, NJ
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 05/08/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MT. LAUREL, NJ
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MT. LAUREL, NJ
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 08/08/1986 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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.