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Guozhen Zhao
CRD#: 6115508
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CITI RETAIL BANKING
111 GREAT NECK ROAD
GREAT NECK, NY 11021
Registration History
201220132014201520162017201820192020202120222023202420252 FIRMS2022 - Present (2 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2019 - 2022 (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2017 - 2017 (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2012 - 2017 (4 years)
License(s)

State Registrations

B
New York 5/2/2022

IA
New York 8/12/2022

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 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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CITI RETAIL BANKING 111 GREAT NECK ROAD, GREAT NECK, NY 11021
Registered with this firm since 8/12/2022

B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CITI RETAIL BANKING 111 GREAT NECK ROAD, GREAT NECK, NY 11021
Registered with this firm since 5/2/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
03/11/2019 - 04/26/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW HYDE PARK, NY
B
04/13/2017 - 11/17/2017 HSBC SECURITIES (USA) INC. (CRD#:19585) ELMHURST, NY
B
12/18/2012 - 03/23/2017 PRUCO SECURITIES, LLC. (CRD#:5685) FLUSHING, NY
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B
Broker
IA
Investment Adviser
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.