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Detailed Report
ANDREW CHAN
CRD#: 4984181
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CWM Retail, Sales
177 E Colorado Blvd.
Pasadena, CA 91105
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2018 (6 years)2 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - Present (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2009 (1 year)
License(s)

State Registrations

B
California 2/21/2024
IA
California 2/21/2024

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

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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)
CWM Retail, Sales 177 E Colorado Blvd., Pasadena, CA 91105
Citi Wealth Management, Sales 285 South Lake Avenue, Pasadena, CA 91101
Registered with this firm since 2/21/2024
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 177 E Colorado Blvd., Pasadena, CA 91105
Citi Wealth Management, Sales 285 South Lake Avenue, Pasadena, CA 91101
Registered with this firm since 2/21/2024
Previous Registration(s)
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IA
 02/02/2018 - 01/26/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) Irvine, CA
B
 02/02/2018 - 01/26/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) Irvine, CA
IA
 10/12/2011 - 01/31/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 10/12/2011 - 01/31/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
IA
 06/01/2009 - 09/09/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LAGUNA NIGUEL, CA
B
 06/01/2009 - 09/09/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LAGUNA NIGUEL, CA
IA
 04/02/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
B
 03/28/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
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.