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SUGEIN VASQUEZ
SUGEIN HERRERA, SUGEIN VASQUEZ-HERRERA
CRD#: 4160466
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CITI PRIVATE BANK
388 Greenwich Street, 30th Floor
NEW YORK, NY 10013
388 Greenwich Street, 30th Floor
NEW YORK, NY 10013
View By:
4/19/2016
Financial
Final
State Registrations
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Alabama 9/13/2022
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Nebraska 9/6/2022
B
Alaska 9/19/2022
B
Nevada 12/15/2023
B
Arizona 9/19/2022
B
New Hampshire 9/7/2022
B
Arkansas 9/6/2022
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New Jersey 9/6/2022
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California 9/6/2022
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New Mexico 9/7/2022
B
Colorado 9/6/2022
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New York 9/6/2022
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Connecticut 9/6/2022
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New York 11/21/2022
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Delaware 9/29/2022
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North Carolina 9/7/2022
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District of Columbia 9/8/2022
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North Dakota 9/12/2022
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Florida 9/7/2022
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Ohio 9/6/2022
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Georgia 9/9/2022
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Oklahoma 9/8/2022
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Hawaii 9/7/2022
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Oregon 9/6/2022
B
Idaho 9/6/2022
B
Pennsylvania 9/7/2022
B
Illinois 9/9/2022
B
Puerto Rico 9/8/2022
B
Indiana 9/6/2022
B
Rhode Island 9/12/2022
B
Iowa 9/8/2022
B
South Carolina 9/7/2022
B
Kansas 9/6/2022
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South Dakota 9/12/2022
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Kentucky 9/9/2022
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Tennessee 9/7/2022
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Louisiana 9/7/2022
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Texas 9/6/2022
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Maine 9/6/2022
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Utah 10/6/2022
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Maryland 9/6/2022
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Vermont 9/6/2022
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Massachusetts 9/6/2022
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Virgin Islands 9/7/2022
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Michigan 9/7/2022
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Virginia 9/14/2022
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Minnesota 9/9/2022
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Washington 9/7/2022
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Mississippi 9/7/2022
B
West Virginia 9/9/2022
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Missouri 9/6/2022
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Wisconsin 9/6/2022
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Montana 9/6/2022
B
Wyoming 9/7/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/21/2022
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Registered with this firm since 9/6/2022
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Registered with this firm since 9/6/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/17/2014 - 08/27/2022 | New York, NY | |
IA | 09/22/2010 - 11/13/2014 | NEW YORK, NY | |
B | 01/07/2010 - 11/13/2014 | NEW YORK, NY | |
IA | 11/21/2022 - 06/30/2010 | NEW YORK, NY | |
IA | 02/28/2006 - 12/21/2009 | NEW YORK, NY | |
B | 12/01/2005 - 12/21/2009 | STAMFORD, CT | |
B | 05/22/2003 - 12/01/2005 | NEW YORK, NY | |
B | 02/13/2002 - 02/12/2003 | SMITHTOWN, NY | |
B | 05/29/2001 - 06/22/2001 | NEW YORK, NY |
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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.
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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.
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