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Registration History
19801985199019952000200520102015202020252 FIRMS2010 - Present (14 years)BDOMINICK & DOMINICK LLC (CRD# 7344)2004 - 2009 (4 years)BFIRST SECURITY INVESTMENTS, INC. (CRD# 24035)2004 - 2004 (<1 year)BDLJDIRECT INC. (CRD# 42159)2000 - 2000 (<1 year)BAVALON RESEARCH GROUP, INC. (CRD# 39815)1997 - 1999 (2 years)BAVALON RESEARCH GROUP, INC. (CRD# 39815)1997 - 1997 (<1 year)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1988 - 1997 (9 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1985 - 1988 (3 years)BSHEARSON LEHMAN BROTHERS INC. (CRD# 7506)1981 - 1985 (4 years)BDONALD & CO. SECURITIES INC. (CRD# 7776)1980 - 1981 (<1 year)IADOMINICK & DOMINICK LLC (CRD# 7344)2007 - 2009 (2 years)
Disclosure(s)
View By:
10/16/2000
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 7/24/2018

B
Missouri 7/24/2018

B
Arizona 7/11/2012

B
Nevada 7/30/2018

B
California 5/16/2012

B
New Jersey 4/5/2013

B
Colorado 7/23/2018

B
New Mexico 8/28/2023

B
Connecticut 7/16/2012

B
New York 3/17/2010

B
Delaware 7/16/2012

B
North Carolina 7/23/2018

IA
Florida 3/9/2010

B
Ohio 11/10/2016

B
Florida 3/19/2010

B
Pennsylvania 7/23/2018

B
Georgia 3/20/2012

B
Puerto Rico 7/26/2018

B
Illinois 7/20/2018

B
South Carolina 7/24/2018

B
Indiana 7/23/2018

B
Texas 7/11/2012

B
Louisiana 12/2/2016

B
Virginia 3/8/2013

B
Maryland 10/14/2016

B
Washington 8/15/2016

B
Massachusetts 11/22/2019

B
Wyoming 7/28/2022

B
Michigan 7/7/2017

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
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

View Exams Passed by the individual in the detailed report

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)
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Miami, FL
CWM Retail, Sales 201 S. Biscayne Blvd, MIAMI, FL 33131
Registered with this firm since 3/17/2010

IA
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Miami, FL
CWM Retail, Sales 201 S. Biscayne Blvd, MIAMI, FL 33131
Registered with this firm since 3/9/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/15/2007 - 02/05/2009 DOMINICK & DOMINICK LLC (CRD#:7344) MIAMI, FL
B
09/01/2004 - 02/05/2009 DOMINICK & DOMINICK LLC (CRD#:7344) MIAMI, FL
B
01/02/2004 - 09/02/2004 FIRST SECURITY INVESTMENTS, INC. (CRD#:24035) KINGSTON, PA
B
07/25/2000 - 10/18/2000 DLJDIRECT INC. (CRD#:42159) JERSEY CITY, NJ
B
09/24/1997 - 12/02/1999 AVALON RESEARCH GROUP, INC. (CRD#:39815) BOCA RATON, FL
B
08/19/1997 - 09/10/1997 AVALON RESEARCH GROUP, INC. (CRD#:39815)
B
04/14/1988 - 08/28/1997 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
04/30/1985 - 05/13/1988 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
04/20/1981 - 05/06/1985 SHEARSON LEHMAN BROTHERS INC. (CRD#:7506)
B
10/22/1980 - 05/16/1981 DONALD & CO. SECURITIES INC. (CRD#:7776)
FINRA expelled the firm on 03/18/2003
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B
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IA
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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.