CITIGROUP GLOBAL MARKETS INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 7059). Regulatory assets under management: $56.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, State/municipal, Investment cos, Other.
Showing 25 of 115 people.
| Name | Role | Location |
|---|---|---|
| Scott M Stuart | COMPLIANCE OFFICER - ASSET MANAGEMENT | GREENWICH, CT |
| Scott W Stuart | COMPLIANCE OFFICER - ASSET MANAGEMENT | Greenwood Village, CO |
| Scott John Stuart | COMPLIANCE OFFICER - ASSET MANAGEMENT | Swarthmore, PA |
| Scott Y Stuart | COMPLIANCE OFFICER - ASSET MANAGEMENT | Chicago, IL |
| Adam Reid Meshel | CO-GENERAL COUNSEL | — |
| Robert Francis Klein | CO-GENERAL COUNSEL | — |
| John A Chirico | DIRECTOR | — |
| Stephanie Anissa Dhouibi | DIRECTOR | — |
| Valentin Luis Valderrabano | DIRECTOR | — |
| Dina Varous | DIRECTOR/CEO/PRESIDENT/CHAIRWOMAN | — |
| Cyrus Begley Iii Richardson | CHIEF COMPLIANCE OFFICER | — |
| Christopher Barratt | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP) | — |
| John James Conway | PRINCIPAL FINANCIAL OFFICER (INTERIM) | — |
| Robert James Cole | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESS | — |
| Dana Lynn Platt | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES | — |
| John Angelo Valenti | CHIEF FINANCIAL OFFICER (INTERIM) | — |
| Cohen David | CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT.; INTERIM CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. | — |
| ROSENBAUM MICHAEL FRED | GENERAL COUNSEL - CITIGROUP ASSET MANAGEMENT; GENERAL COUNSEL - CITIGROUP ASSET MANAGEMENT; MANAGING DIRECTOR - SALOMON SMITH BARNEY INC.; GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. | — |
| THOMSON TODD STUART | CHAIRMAN, CEO - SMITH BARNEY; CHAIRMAN, CEO- SMITH BARNEY; DIRECTOR | — |
| MCWHINNEY DEBORAH DOYLE | PRESIDENT AND CEO -CITI PERSONAL WEALTH MANAGEMENT | — |
| KRISHNA A RAMA | CHIEF INVESTMENT OFFICER - INSTITUTIONAL INVESTMENTS - CITIGROUP ASSET MANAGEMENT | — |
| MILLS DANIEL JOSEPH | DIRECTOR | — |
| YOUNG STANFORD THOMAS | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES | — |
| ROSEN MICHAEL | INTERIM CHIEF COMPLIANCE OFFICER | — |
| HATCH PAUL MARTIN | EXECUTIVE VICE PRESIDENT - INVESTMENT ADVISORY SERVICES | — |
Showing 10 of 172 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-10 | regulatory | THE CHICAGO BOARD OF TRADE ("CBOT") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") CONTRACTUALLY AGREED TO A PERIOD OF TIME DURING WHICH THE FIRM'S FULL DISCRETION TO DETERMINE WHEN AND UNDER WHAT CIRCUMSTANCE POSITIONS COULD BE LIQUIDATED WAS RESTRIC… | Final | $150K |
| 2025-10-15 | regulatory | ICE FUTURES U.S., INC. ("IFUS") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. (THE "FIRM") FAILED TO TIMELY DELIVER ALLOWANCES IN SATISFACTION OF ITS ENTIRE DELIVERY OBLIGATION FOR THE DECEMBER 2024 CALIFORNIA CARBON ALLOWANCE VINTAGE 2024 FUTURE DELIVERY OBLIGATION, ON DECEMBER 27, 2024, IN VIOLATION… | Final | $10K |
| 2025-09-04 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH CITIGROUP GLOBAL MARKETS INC. ("CGMI") SETTLING AN ADMINISTRATIVE ACTION THAT FOUND CGMI (A) FROM AT LEAST 2015 TO NOVEMBER 2022, FAILED TO FILE ACCURATE LARGE TRADER REPORTS, IN VIOLATION OF SECTION 4G(… | Final | $1.5M |
| 2024-12-31 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT, FROM APRIL 2015 THROUGH JUNE 2023, CITIGROUP GLOBAL MARKETS INC. ("THE FIRM") PERMITTED CERTAIN ASSOCIATED PERSONS TO ENGAGE IN ACTIVITIES REQUIRING QUALIFICATION AS A MUNICIPAL SECURITIES REPRESENTATIVE WHEN THEY WERE NOT QUALIFIED… | Final | $100K |
| 2024-11-15 | regulatory | THE NASDAQ STOCK MARKET LLC ("NASDAQ") ALLEGED THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) FAILED TO SATISFY ITS TWO-SIDED CONTINUOUS QUOTING OBLIGATION FROM OCTOBER 1, 2019 THROUGH JUNE 30, 2020, IN VIOLATION OF NASDAQ RULE 4613(A), (2) SUBMITTED BID/OFFER INTEREST OUTSIDE OF THE DESIGNATE… | Final | $60K |
| 2024-10-07 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT, FROM OCTOBER 2012 THROUGH MARCH 2021, CITIGROUP GLOBAL MARKETS INC. ("THE FIRM") FAILED TO COLLECT INITIAL AND MAINTENANCE MARGIN ON OVER-THE-COUNTER EQUITY OPTION CONTRACTS IT ENTERED WITH TWO AFFILIATED ENTITIES, RESULTING IN VIOL… | Final | $1.4M |
| 2024-07-18 | regulatory | THE NEW YORK MERCANTILE EXCHANGE ("NYMEX") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSITI… | Final | $35K |
| 2024-07-18 | regulatory | THE CHICAGO MERCANTILE EXCHANGE INC. ("CME") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSI… | Final | $30K |
| 2024-07-18 | regulatory | THE COMMODITY EXCHANGE ("COMEX") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSITION CHANGE… | Final | $35K |
| 2024-07-18 | regulatory | THE CHICAGO BOARD OF TRADE ("CBOT") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSITION CHAN… | Final | $30K |