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SUSANA LEE
SUSANA BUTT, SUSANA MONSERRAT
CRD#: 4302998
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 Citi Private Bank
201 S. Biscayne Blvd, FL 31 Ste 3100 & FL 33 Ste 3
Miami, FL 33131
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2018 - 2021 (3 years)2 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2015 - 2018 (3 years)BSANTANDER SECURITIES LLC (CRD# 41791)2004 - 2015 (10 years)BCOUTTS SECURITIES INC. (CRD# 105260)2001 - 2004 (2 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2017 - 2018 (<1 year)
License(s)

State Registrations

B
California 4/15/2022

B
Massachusetts 4/15/2022

B
Colorado 4/15/2022

B
New Jersey 4/15/2022

B
Connecticut 5/31/2023

B
New Mexico 4/15/2022

B
Delaware 4/15/2022

B
Oregon 4/15/2022

B
Florida 4/15/2022

B
South Dakota 4/15/2022

IA
Florida 4/18/2022

B
Texas 4/15/2022

B
Illinois 4/15/2022

B
Virginia 4/15/2022

B
Maine 4/15/2022

B
Wyoming 4/15/2022

B
Maryland 4/15/2022

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 National, Inc.

B
NYSE Texas, 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

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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 Private Bank 201 S. Biscayne Blvd, FL 31 Ste 3100 & FL 33 Ste 3, Miami, FL 33131
Mascotte, FL
Registered with this firm since 4/18/2022

B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Citi Private Bank 201 S. Biscayne Blvd, FL 31 Ste 3100 & FL 33 Ste 3, Miami, FL 33131
Mascotte, FL
Registered with this firm since 4/15/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/23/2021 - 02/24/2022 MORGAN STANLEY (CRD#:149777) Miami, FL
B
04/22/2021 - 02/24/2022 MORGAN STANLEY (CRD#:149777) Miami, FL
IA
04/12/2018 - 04/12/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MIAMI, FL
B
04/11/2018 - 04/12/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MIAMI, FL
IA
06/22/2017 - 05/03/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) MIAMI, FL
B
05/07/2015 - 05/03/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) MIAMI, FL
B
06/01/2004 - 01/21/2015 SANTANDER SECURITIES LLC (CRD#:41791) MIAMI, FL
B
05/03/2001 - 04/30/2004 COUTTS SECURITIES INC. (CRD#:105260) MIAMI, FL
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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.