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Robert Klein

Co-General Counsel at Citigroup Global Markets

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Robert Klein is Co-General Counsel of Citigroup Global Markets Inc., a New York investment adviser managing $56B. Robert Klein has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 4, Series 3 and SIE.

Role at Citigroup Global Markets

Title on Schedule A
Co-General Counsel
Control
Robert Klein is a control person of Citigroup Global Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
Robert Klein has held the filed role since March 2021.

The firm

Citigroup Global Markets Inc.
New York, NY

Form ADV filed 10 September 2026

$56B AUM59,829 clients4,078 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7, Series 4 and Series 3 · 1997

Registrations and exams

Broker registration; no current adviser registration. Robert Klein has passed 4 qualifying exams.

Examinations

Series 46 October 1997
Name
Registered Options Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 319 December 1997
Name
National Commodity Futures Examination
Series 73 October 1997
Name
General Securities Representative Examination

Individual record

Full name
Robert Francis Klein
CRD
2937015
Firm
Citigroup Global Markets Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Robert Klein work?

Robert Klein has been Co-General Counsel of Citigroup Global Markets Inc. since March 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 10 September 2026

Does Robert Klein have a current investment-adviser registration?

Robert Klein has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Robert Klein passed?

Robert Klein has passed 4 licensing exams: the Series 7, Series 4, Series 3 and SIE. The earliest, the Series 7, was passed in October 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Citigroup Global Markets

Sources

  1. IAPD individual record, CRD 2937015. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Citigroup Global Markets Inc., filed 10 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Robert Klein or Citigroup Global Markets Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.