Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2009 - 2023 (14 years)2 FIRMS2023 - 2025 (1 year)2 FIRMS2025 - Present (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (7 years)
Disclosure(s)
View By:
7/28/2014
Judgment / Lien
10/3/2006
Judgment / Lien
6/10/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Delaware 3/6/2025
B
New York 3/6/2025
IA
Delaware 3/6/2025
IA
New York 3/6/2025
B
Florida 9/14/2023
B
North Carolina 3/6/2025
IA
Florida 3/6/2025
IA
North Carolina 3/6/2025
B
New Jersey 3/6/2025
B
Pennsylvania 3/6/2025
IA
New Jersey 3/6/2025

SRO Registrations

B
 FINRA

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
LPL FINANCIAL LLC (CRD#:6413)
350 MAIN ROAD SUITE 204, MONTVILLE, NJ 07045
Registered with this firm since 3/6/2025
B
LPL FINANCIAL LLC (CRD#:6413)
350 MAIN ROAD SUITE 204, MONTVILLE, NJ 07045
Registered with this firm since 3/6/2025
Previous Registration(s)
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IA
 09/14/2023 - 03/06/2025 IC ADVISORY SERVICES, INC. (CRD#:140190) MONTVILLE, NJ
B
 09/13/2023 - 03/06/2025 THE INVESTMENT CENTER, INC. (CRD#:17839) MONTVILLE, NJ
IA
 05/22/2009 - 09/05/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Red Bank, NJ
B
 05/22/2009 - 09/05/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Red Bank, NJ
IA
 05/10/2002 - 05/28/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW BRUNSWICK, NJ
B
 07/31/1993 - 05/28/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW BRUNSWICK, NJ
B
 03/23/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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.