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Detailed Report
CHRISTOPHER ALTERN ALEXIS
CRD#: 1770542
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 Citi Wealth Management, Sales
14-18 Railroad Avenue
Greenwich, CT 06830
Registration History
199019952000200520102015202020252 FIRMS2005 - 2007 (2 years)2 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)BHSBC BROKERAGE (USA) INC. (CRD# 6956)2000 - 2005 (4 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (<1 year)BTHE DREYFUS SERVICE CORPORATION (CRD# 231)1997 - 1998 (<1 year)BTHE DREYFUS SERVICE CORPORATION (CRD# 231)1993 - 1998 (4 years)BTHE DREYFUS SERVICE CORPORATION (CRD# 231)1988 - 1996 (8 years)
License(s)

State Registrations

B
Alabama 5/29/2007
B
Nebraska 5/29/2007
B
Alaska 5/29/2007
B
Nevada 5/29/2007
B
Arizona 5/29/2007
B
New Hampshire 5/29/2007
B
Arkansas 5/29/2007
B
New Jersey 5/29/2007
B
California 5/29/2007
IA
New Jersey 5/29/2007
B
Colorado 5/29/2007
B
New Mexico 5/29/2007
B
Connecticut 5/29/2007
B
New York 5/29/2007
IA
Connecticut 10/9/2024
IA
New York 8/17/2021
B
Delaware 5/29/2007
B
North Carolina 5/29/2007
B
District of Columbia 5/29/2007
B
North Dakota 5/29/2007
B
Florida 5/29/2007
B
Ohio 5/29/2007
B
Georgia 5/29/2007
B
Oklahoma 5/29/2007
B
Hawaii 5/29/2007
B
Oregon 5/29/2007
B
Idaho 5/29/2007
B
Pennsylvania 5/29/2007
B
Illinois 5/29/2007
B
Puerto Rico 5/29/2007
B
Indiana 5/29/2007
B
Rhode Island 5/29/2007
B
Iowa 5/29/2007
B
South Carolina 5/29/2007
B
Kansas 5/29/2007
B
South Dakota 5/29/2007
B
Kentucky 5/29/2007
B
Tennessee 5/29/2007
B
Louisiana 5/29/2007
B
Texas 5/29/2007
B
Maine 5/29/2007
B
Utah 5/29/2007
B
Maryland 5/29/2007
B
Vermont 5/29/2007
B
Massachusetts 5/29/2007
B
Virgin Islands 10/30/2019
B
Michigan 5/29/2007
B
Virginia 5/29/2007
B
Minnesota 5/29/2007
B
Washington 5/29/2007
B
Mississippi 5/29/2007
B
West Virginia 5/29/2007
B
Missouri 5/29/2007
B
Wisconsin 5/29/2007
B
Montana 5/29/2007
B
Wyoming 5/29/2007

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX 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
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Citi Wealth Management, Sales 14-18 Railroad Avenue, Greenwich, CT 06830
Wilton, CT
Registered with this firm since 5/29/2007
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Citi Wealth Management, Sales 14-18 Railroad Avenue, Greenwich, CT 06830
Wilton, CT
Registered with this firm since 5/29/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/14/2007 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 05/14/2007 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
IA
 12/02/2005 - 05/16/2007 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK, NY
B
 01/01/2005 - 05/16/2007 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK, NY
B
 04/19/2000 - 01/01/2005 HSBC BROKERAGE (USA) INC. (CRD#:6956) NEW YORK, NY
B
 10/21/1999 - 04/12/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 05/13/1997 - 04/14/1998 THE DREYFUS SERVICE CORPORATION (CRD#:231)
B
 07/27/1993 - 04/14/1998 THE DREYFUS SERVICE CORPORATION (CRD#:231) NEW YORK, NY
B
 10/04/1988 - 11/07/1996 THE DREYFUS SERVICE CORPORATION (CRD#:231)
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.