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Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2000 (1 year)2 FIRMS2013 - Present (11 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2009 - 2013 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2009 (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2007 (5 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2002 (2 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2010 - 2013 (3 years)
Disclosure(s)
View By:
11/29/2006
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 6/24/2013

B
New Jersey 6/24/2013

B
Delaware 6/28/2018

IA
New Jersey 7/2/2013

B
Florida 10/20/2016

B
New York 6/24/2013

B
Illinois 12/2/2013

B
Pennsylvania 6/24/2013

B
Maryland 1/16/2015

B
Rhode Island 6/24/2013

B
Massachusetts 10/30/2018

B
Texas 1/22/2015

B
Missouri 8/5/2015

B
Virginia 6/24/2013

B
Nebraska 2/10/2025

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)
Glen Ridge, NJ
CITI RETAIL BANKING 378 ROUTE 3 WEST, CLIFTON, NJ 07014
Registered with this firm since 7/2/2013

B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Glen Ridge, NJ
CITI RETAIL BANKING 378 ROUTE 3 WEST, CLIFTON, NJ 07014
Registered with this firm since 6/24/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/05/2010 - 06/19/2013 HSBC SECURITIES (USA) INC. (CRD#:19585) FLUSHING, NY
B
08/14/2009 - 06/19/2013 HSBC SECURITIES (USA) INC. (CRD#:19585) FLUSHING, NY
B
08/30/2007 - 06/25/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
03/21/2002 - 09/14/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
02/24/2000 - 03/20/2002 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
03/02/1998 - 02/28/2000 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
03/02/1998 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.