Hedge Fund Database

CITIGROUP GLOBAL MARKETS INC.

Adviser information for CITIGROUP GLOBAL MARKETS INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location New York, United States

Employees

Total Number of Employees 7830
Investment Advisory/Research 4880
Registered Broker-Dealer Representatives 5484
Registered State Investment Advisers 2588
Licensed Agents of an Insurance Company 1060
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 31,420 $23.4B
Non-Discretionary 22,460 $17.1B
Total 53,880 $40.5B

Clients

Type Number RAUM
Individuals 33,885 $8.1B
HNW Individuals 18,468 $22.7B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 53 $1.3B
Charitable organizations 138 $441.1M
State or municipal gov entities 11 $3.0B
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 1,382 $5.0B
Other 0 $0
Type Number
No. of Non-RAUM Clients 11754
No. of Non-U.S. Clients 7
No. of Financial Planning Clients 11500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersSecurity ratings or pricing servicesASSET ALLOCATION ADVICE
Compensation % of AUMFixed fees
Other Business Activities Broker-dealerFutures commission merchantRegistered security-based swap dealerCFTC SWAP DEALER

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 8.1B
Portfolio Manager 0
Both for Same 29.3B
Portfolio Manager to Program Sponsor
CITI ADVISOR PROGRAM CITIGROUP GLOBAL MARKETS INC.
ADVISORY PORTFOLIOS PROGRAM CITIGROUP GLOBAL MARKETS INC.
CITI PORTFOLIO MANAGER PROGRAM CITIGROUP GLOBAL MARKETS INC.
CITI WEALTH BUILDER PROGRAM CITIGROUP GLOBAL MARKETS INC.
MULTI-ASSET CLASS SOLUTIONS PROGRAM CITIGROUP GLOBAL MARKETS INC.
DYNAMIC ALLOCATION PORTFOLIOS - UMA PROGRAM CITIGROUP GLOBAL MARKETS INC.

Identifiers

SEC RIA File Number 801-3387
SEC ERA File Number 801-3387
SEC CIK Numbers 315030, 91154
SEC CRD Numbers 7059
Legal Entity Identifier MBNUM2BPBDO7JBLYG310

Principal Office

388 GREENWICH STREET
NEW YORK
NY
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 212-816-6000, Fax: None

Websites

www.privatebank.citibank.com www.citibankonline.com www.citibank.com www.citigroup.com www.privatebank.citibank.com/adv.htm www.ipbus.citi.com www.citi.com/investorinfo/bios/ online.citi.com investments.citi.com/cpb citigold.citi.com www.citi.com/investorinfo/advisoryprivacy/ marketinsights.citi.com www.wealth.citi.com/wealthatwork/ www.citigoldprivateclient.citi.com www.citi.com www.linkedin.com/showcase/citi-private-bank/ investments.citi.com/pwm www.linkedin.com/company/citi/ twitter.com/citi youtube.com/citi investments.citi.com/cpii www.citiglobalwealth.com/atwork/ www.instagram.com/citiprivatebank/ www.linkedin.com/showcase/citi-global-wealth-at-work/

Chief Compliance Officer

DANA L. PLATT
ICRM HEAD OF INVESTMENT SOLUTIONS AND OFFICE OF CHIEF INVESTMENT STRATEGIST
750 WASHINGTON BLVD
7TH FLOOR
STAMFORD
CT
United States
Tel: (212) 559-7247
(Full email address available in API data)

Industry Affiliates

BANK HANDLOWY W WARSZAWIE S.A. (POLAND) Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution
CIGPF FUNDING CORP. Sponsor, GP, manager of pooled investment vehicles
CITI GLOBAL ALTERNATIVES, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
CITI PRIVATE ALTERNATIVES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerCommodity pool operator or commodity trading advisor
CITI REAL ESTATE FUNDING INC. Sponsor, GP, manager of pooled investment vehicles
CITIBANAMEX CASA DE BOLSA, S.A. DE C.V., CASA DE BOLSA, INTEGRANTE DEL GRUPO FIANACIERO CITIBANAMEX Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIBANK (CHINA) CO., LTD Banking or thrift institution
CITIBANK (HONG KONG) LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersBanking or thrift institution
CITIBANK (SWITZERLAND) AG Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersBanking or thrift institution
CITIBANK BERHAD Banking or thrift institution
CITIBANK CAMEROON Banking or thrift institution
CITIBANK CANADA INVESTMENT FUNDS LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
CITIBANK EUROPE PLC Banking or thrift institution
CITIBANK KOREA INC. Banking or thrift institutionTrust company
CITIBANK SENEGAL S.A. Banking or thrift institution
CITIBANK TAIWAN LIMITED Banking or thrift institution
CITIBANK UGANDA LIMITED Banking or thrift institution
CITIBANK ZAMBIA LIMITED Banking or thrift institution
CITIBANK-COLOMBIA S.A Banking or thrift institution
CITIBANK, N.A. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerBanking or thrift institution
CITICORP CAPITAL PHILIPPINES, INC Other investment adviser, including financial planners
CITICORP INSURANCE USA, INC. Insurance company or agency
CITICORP INTERNATIONAL LIMITED Banking or thrift institution
CITICORP MERCHANT BANK LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITICORP SECURITIES SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITICORP TRUST DELAWARE, N.A Other investment adviser, including financial plannersTrust company
CITICORP TRUST SOUTH DAKOTA Other investment adviser, including financial plannersTrust company
CITIGROUP ALTERNATIVE INVESTMENTS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
CITIGROUP COMMERCIAL MORTGAGE SECURITIES INC. Sponsor, GP, manager of pooled investment vehicles
CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CITIGROUP GLOBAL MARKETS ASIA LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
CITIGROUP GLOBAL MARKETS AUSTRALIA PTY LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerFutures commission merchant
CITIGROUP GLOBAL MARKETS BRASIL, CORRETORA DE CAMBIO TITULOS E VALORES MOBILIARIOS S.A. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
CITIGROUP GLOBAL MARKETS CANADA INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIGROUP GLOBAL MARKETS EUROPE AG Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIGROUP GLOBAL MARKETS JAPAN INC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIGROUP GLOBAL MARKETS KOREA SECURITIES LTD. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIGROUP GLOBAL MARKETS LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerCommodity pool operator or commodity trading advisor
CITIGROUP GLOBAL MARKETS MALAYSIA SDN. BHD Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
CITIGROUP GLOBAL MARKETS MAURITIUS PRIVATE LIMITED Other investment adviser, including financial planners
CITIGROUP GLOBAL MARKETS MORTGAGE SECURITIES III, INC. Sponsor, GP, manager of pooled investment vehicles
CITIGROUP GLOBAL MARKETS MORTGAGE SECURITIES VI, INC. Sponsor, GP, manager of pooled investment vehicles
CITIGROUP GLOBAL MARKETS MORTGAGE SECURITIES VII, INC. Sponsor, GP, manager of pooled investment vehicles
CITIGROUP GLOBAL MARKETS REALTY CORP. Sponsor, GP, manager of pooled investment vehicles
CITIGROUP GLOBAL MARKETS SINGAPORE PTE LTD. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
CITIGROUP GLOBAL MARKETS SINGAPORE SECURITIES PTE LTD Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIGROUP GLOBAL MARKETS TAIWAN SECURITIES COMPANY LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIGROUP GLOBAL MARKETS VEHICLE SECURITIES INC. Sponsor, GP, manager of pooled investment vehicles
CITIGROUP LIFE AGENCY LLC Insurance company or agency
CITIGROUP MORTGAGE LOAN TRUST INC. Sponsor, GP, manager of pooled investment vehicles
CITIGROUP PRIVATE EQUITY (CVCI GP) LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CITIGROUP PRIVATE EQUITY (OFFSHORE) LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CITIGROUP PRIVATE EQUITY LP Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CITIGROUP RISK BROKERS INC. Insurance company or agency
CITIGROUP SAUDI ARABIA Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
CITIMAE INC Sponsor, GP, manager of pooled investment vehicles
CITINVERSIONES DE TITULOS Y VALORES, S. A. (PUESTO DE BOLSA AFILIADO A LA BOLSA DE VALORES DE LA REPUBLICA DOMINICANA) Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITITRUST (BAHAMAS) LTD. Other investment adviser, including financial plannersTrust company
CITITRUST (CAYMAN) LTD Other investment adviser, including financial plannersTrust company
CITITRUST (JERSEY) LTD. Other investment adviser, including financial plannersTrust company
CITITRUST (SINGAPORE) LIMITED Other investment adviser, including financial plannersTrust company
CITITRUST (SWITZERLAND) LIMITED Other investment adviser, including financial plannersTrust company
CITITRUST COLOMBIA S.A. Trust company
CITITRUST LIMITED Trust company
CITITRUST PRIVATE TRUST (CAYMAN) LIMITED Other investment adviser, including financial plannersTrust company
CITITRUST PRIVATE TRUST ZURICH GMBH Other investment adviser, including financial plannersTrust company
CITIVALORES S.A. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIVALORES S.A. COMISIONISTA DE BOLSA Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CMLTI ASSET TRUST Sponsor, GP, manager of pooled investment vehicles
FINANCIAL REASSURANCE COMPANY LIMITED Insurance company or agency
GWII INFRASTRUCTURE INVESTMENTS LLP Sponsor, GP, manager of pooled investment vehicles
HOUSING SECURITIES INC. Sponsor, GP, manager of pooled investment vehicles
LATIN AMERICAN INVESTMENT BANK BAHAMAS LIMITED Banking or thrift institution
MORTGAGE CAPITAL FUNDING INC. Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CITIGROUP FINANCIAL PRODUCTS INC. Domestic Entity – 100% SHAREHOLDER 09/1998 > 75%
CITIGROUP INC. Domestic Entity CITIGROUP GLOBAL MARKETS HOLDINGS INC. 100% SHAREHOLDER 11/1997 > 75%
CITIGROUP GLOBAL MARKETS HOLDINGS INC. Domestic Entity OWNS 100% OF CITIGROUP FINANCIAL PRODUCTS INC. 100% SHAREHOLDER 09/1998 > 75%
PLATT, DANA LYNN Individual – CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES 03/2013 < 5%
MESHEL, ADAM REID Individual – CO-GENERAL COUNSEL 04/2013 < 5%
TROMBETTA, SANTO VITO Individual – PRINCIPAL OPERATIONS OFFICERS (FINOP) 07/2015 < 5%
KURSMAN, SCOTT CHARLES Individual – CHIEF COMPLIANCE OFFICER 06/2019 < 5%
KLEIN, ROBERT FRANCIS Individual – CO-GENERAL COUNSEL 03/2021 < 5%
CHIRICO, JOHN A Individual – DIRECTOR 02/2021 < 5%
DHOUIBI, STEPHANIE ANISSA Individual – DIRECTOR 03/2022 < 5%
HEPPOLETTE, JOHN DESMOND Individual – DIRECTOR 04/2023 < 5%
HEPPOLETTE, JOHN DESMOND Individual – CEO/CHAIRMAN/PRESIDENT 06/2023 < 5%
GATELY, TIMOTHY HUGH Individual – DIRECTOR 10/2023 < 5%
VALDERRABANO, VALENTIN LUIS Individual – DIRECTOR 10/2023 < 5%
VALENTI, JOHN ANGELO Individual – CHIEF FINANCIAL OFFICER (INTERIM) 03/2024 < 5%

No. Employees, Historic

10,0005,000020192020202120222023202420257855 on 5/10/20197855 on 6/19/20197855 on 7/17/20197855 on 7/17/20197855 on 7/18/20197855 on 7/31/20197855 on 9/11/20197855 on 10/21/20197855 on 11/6/20197855 on 12/2/20197855 on 1/29/20207855 on 2/24/20208047 on 3/27/20208047 on 5/5/20208047 on 6/1/20208047 on 6/18/20208047 on 9/11/20208047 on 10/29/20208047 on 11/6/20208047 on 1/4/20218047 on 1/20/20218047 on 2/25/20218179 on 3/29/20218179 on 3/30/20218179 on 5/20/20218179 on 5/21/20218179 on 6/9/20218179 on 6/29/20218179 on 9/20/20218179 on 9/22/20218179 on 9/27/20218179 on 10/8/20218179 on 11/5/20218179 on 12/21/20218179 on 3/1/20229102 on 3/30/20229102 on 5/16/20229102 on 5/31/20229102 on 7/20/20229102 on 8/16/20229102 on 10/3/20229102 on 10/28/20229102 on 11/28/20229102 on 1/3/20239102 on 1/5/20239102 on 1/13/20239102 on 2/15/20239102 on 2/28/20237927 on 3/30/20237927 on 4/20/20237927 on 4/25/20237927 on 5/17/20237927 on 6/9/20237927 on 7/28/20237927 on 9/21/20237927 on 10/3/20237927 on 10/27/20237927 on 12/1/20237927 on 12/8/20237927 on 2/9/20247830 on 3/27/2024

RAUM, Historic

50B25B0201920202021202220232024202525273699145 on 5/10/201925273699145 on 6/19/201925273699145 on 7/17/201925273699145 on 7/17/201925273699145 on 7/18/201925273699145 on 7/31/201925273699145 on 9/11/201925273699145 on 10/21/201925273699145 on 11/6/201925273699145 on 12/2/201925273699145 on 1/29/202025273699145 on 2/24/202032924374901 on 3/27/202032924374901 on 5/5/202032924374901 on 6/1/202032924374901 on 6/18/202032924374901 on 9/11/202032924374901 on 10/29/202032924374901 on 11/6/202032924374901 on 1/4/202132924374901 on 1/20/202132924374901 on 2/25/202138271725251 on 3/29/202138271725251 on 3/30/202138271725251 on 5/20/202138271725251 on 5/21/202138271725251 on 6/9/202138271725251 on 6/29/202138271725251 on 9/20/202138271725251 on 9/22/202138271725251 on 9/27/202138271725251 on 10/8/202138271725251 on 11/5/202138271725251 on 12/21/202138271725251 on 3/1/202243883104905 on 3/30/202243883104905 on 5/16/202243883104905 on 5/31/202243883104905 on 7/20/202243883104905 on 8/16/202243883104905 on 10/3/202243883104905 on 10/28/202243883104905 on 11/28/202243883104905 on 1/3/202343883104905 on 1/5/202343883104905 on 1/13/202343883104905 on 2/15/202343883104905 on 2/28/202334863982805 on 3/30/202334863982805 on 4/20/202334863982805 on 4/25/202334863982805 on 5/17/202334863982805 on 6/9/202334863982805 on 7/28/202334863982805 on 9/21/202334863982805 on 10/3/202334863982805 on 10/27/202334863982805 on 12/1/202334863982805 on 12/8/202334863982805 on 2/9/202440516482275 on 3/27/2024

No. Clients, Historic

60,00030,0000201920202021202220232024202547742 on 5/10/201947742 on 6/19/201947742 on 7/17/201947742 on 7/17/201947742 on 7/18/201947742 on 7/31/201947742 on 9/11/201947742 on 10/21/201947742 on 11/6/201947742 on 12/2/201947742 on 1/29/202047742 on 2/24/202049442 on 3/27/202049442 on 5/5/202049442 on 6/1/202049442 on 6/18/202049442 on 9/11/202049442 on 10/29/202049442 on 11/6/202049442 on 1/4/202149442 on 1/20/202149442 on 2/25/202151147 on 3/29/202151147 on 3/30/202151147 on 5/20/202151147 on 5/21/202151147 on 6/9/202151147 on 6/29/202151147 on 9/20/202151147 on 9/22/202151147 on 9/27/202151147 on 10/8/202151147 on 11/5/202151147 on 12/21/202151147 on 3/1/202254236 on 3/30/202254236 on 5/16/202254236 on 5/31/202254236 on 7/20/202254236 on 8/16/202254236 on 10/3/202254236 on 10/28/202254236 on 11/28/202254236 on 1/3/202354236 on 1/5/202354236 on 1/13/202354236 on 2/15/202354236 on 2/28/202353824 on 3/30/202353824 on 4/20/202353824 on 4/25/202353824 on 5/17/202353824 on 6/9/202353824 on 7/28/202353824 on 9/21/202353824 on 10/3/202353824 on 10/27/202353824 on 12/1/202353824 on 12/8/202353824 on 2/9/202453937 on 3/27/2024