Individual Firm
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DOUGLAS A DREHWING
CRD#: 5074129
IA
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CITI RETAIL BANKING
378 ROUTE 3 WEST
CLIFTON, NJ 07014
378 ROUTE 3 WEST
CLIFTON, NJ 07014
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12/15/2016
Customer Dispute
Settled
State Registrations
B
Alaska 2/22/2018
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New Jersey 11/16/2016
B
California 12/19/2016
IA
New Jersey 11/17/2016
B
Colorado 2/27/2017
B
New York 11/16/2016
B
Connecticut 12/16/2016
IA
New York 8/17/2021
B
Florida 12/16/2016
B
North Carolina 4/9/2019
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Massachusetts 8/25/2017
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Pennsylvania 12/16/2016
B
Minnesota 12/19/2016
B
Texas 10/20/2017
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Nevada 5/30/2017
B
Virginia 10/19/2018
B
New Hampshire 11/30/2017
B
Washington 4/15/2019
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 11/17/2016
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Registered with this firm since 11/16/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/23/2015 - 11/21/2016 | NEW YORK, NY | |
B | 09/23/2015 - 11/21/2016 | NEW YORK, NY | |
IA | 08/17/2011 - 09/17/2015 | NEW YORK, NY | |
B | 02/23/2011 - 09/17/2015 | NEW YORK, NY | |
B | 01/20/2006 - 02/25/2011 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.