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ANTONIO HENRIQUE ALVES
CRD#: 5526928
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CWM Retail, Sales
1764-1770 Crosby Avenue
Bronx, NY 10461
1764-1770 Crosby Avenue
Bronx, NY 10461
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Disclosures
10
Years of Experience
View By:
State Registrations
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Connecticut 9/19/2016
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New York 9/19/2016
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Florida 9/19/2016
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New York 6/30/2021
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New Jersey 9/19/2016
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Pennsylvania 11/26/2018
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 6/30/2021
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Registered with this firm since 9/19/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/11/2014 - 12/31/2014 | NEW YORK, NY | |
B | 04/02/2013 - 09/24/2013 | TARRYTOWN, NY | |
B | 05/17/2012 - 03/20/2013 | BRONX, NY | |
B | 12/07/2011 - 05/01/2012 | YONKERS, 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.
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.