{"url":"https://nivawealth.com/firms/citigroup-global-markets-7059","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/7059","regulatoryAum":56006655920,"crd":"7059","secFileNumber":"801-3387","legalName":"Citigroup Global Markets Inc.","displayName":"Citigroup Global Markets","website":"https://www.citi.com","founded":null,"organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"388 Greenwich Street","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10013"},"tradeNames":["Citi Global Wealth at Work","Citi Investment Management","Citi Personal Wealth Management","Citi Private Bank"],"registration":{"secApproved":"23 February 1964","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":7036,"advisory":4078,"brokerDealerReps":5004,"insuranceAgents":945,"promoters":1},"aum":{"discretionary":34964584439,"discretionaryAccounts":37632,"nonDiscretionary":21042071481,"nonDiscretionaryAccounts":22125,"wrapProgram":54266045804,"nonUsClientsPct":8,"nonAumClients":2481},"clientTypes":[{"label":"Individuals (other than HNW)","clients":34655,"regulatoryAum":9545607987},{"label":"High-net-worth individuals","clients":23441,"regulatoryAum":31953417699},{"label":"Pooled investment vehicles","clients":26,"regulatoryAum":2980740757},{"label":"Pension and profit-sharing plans","clients":41,"regulatoryAum":1502986828},{"label":"Charitable organizations","clients":143,"regulatoryAum":509061225},{"label":"State or municipal government entities","clients":11,"regulatoryAum":2842204202},{"label":"Corporations and other businesses","clients":1512,"regulatoryAum":6672637222}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":43634893425},{"name":"Citibank, N.A.","shortName":"Citibank, N.A.","location":"New York, NY","smaAssets":9002990951}],"custodyNote":"Citigroup Global Markets has custody of $43.96B for 58,913 clients.","otherCustodians":[],"leadership":[{"name":"Dina Varous","title":"Director/CEO/President/Chairwoman","crd":"5012034"},{"name":"Michael Agnello","title":"Chief Financial Officer","crd":"7042560"},{"name":"Robert James Cole","title":"Chief Compliance Officer - Investment Advisory Business","crd":"6439548"},{"name":"Cyrus Begley III Richardson","title":"Chief Compliance Officer","crd":"5284855"},{"name":"Christopher Barratt","title":"Chief Operations Officer/Principal Operations Officer (finop)","crd":"5659131"},{"name":"Keith David Glenfield","title":"Director","crd":"4403678"},{"name":"Nikhil Joshi","title":"Director","crd":"4972440"},{"name":"Robert Francis Klein","title":"Co-General Counsel","crd":"2937015"},{"name":"Adam Reid Meshel","title":"Co-General Counsel","crd":"3101145"}],"ownership":[{"label":"Citigroup Financial Products Inc.","detail":"100% shareholder in the 75% or more ownership band and a control person, since September 1998."},{"label":"Citigroup Inc.","detail":"Indirect owner: a 100% shareholder of Citigroup Global Markets Holdings Inc. in the 75% or more band and a control person, since November 1997.","parent":"Citigroup Global Markets Holdings Inc."},{"label":"Citigroup Global Markets Holdings Inc.","detail":"Indirect owner: a 100% shareholder of Owns 100% of Citigroup Financial Products Inc. in the 75% or more band and a control person, since September 1998.","parent":"Owns 100% of Citigroup Financial Products Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":594,"privateResidences":0},"listedOfficeAddresses":26,"officesByState":[{"state":"California","offices":3,"addresses":[{"street":"Citi Private Bank","city":"San Francisco"},{"street":"Citi Private Bank","city":"Beverly Hills"},{"street":"Citi Private Bank","city":"Los Angeles"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"Citi Private Bank","city":"Greenwich"}]},{"state":"District of Columbia","offices":1,"addresses":[{"street":"Citi Private Bank","city":"Washington"}]},{"state":"Florida","offices":6,"addresses":[{"street":"Citi Private Bank","city":"Miami"},{"street":"Citi Private Wealth Management","city":"Miami"},{"street":"Citi Private Bank","city":"Miami"},{"street":"Citi Private Wealth Management","city":"Jacksonville"},{"street":"Citi Private Wealth Management","city":"Miami"},{"street":"Citi Private Wealth Management","city":"Jacksonville"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"Citi Private Bank","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"Citi Private Bank","city":"Boston"}]},{"state":"New York","offices":9,"addresses":[{"street":"388 Greenwich Street","city":"New York","headquarters":true},{"street":"Citi Private Bank","city":"New York"},{"street":"Citi Private Wealth Management","city":"New York"},{"street":"Citi Private Bank","city":"New York"},{"street":"Citi Private Bank","city":"New York"},{"street":"Citi Private Bank","city":"New York"},{"street":"Citi Private Bank","city":"New York"},{"street":"Citi Private Wealth Management","city":"New York"},{"street":"Citi Private Bank","city":"Ny"}]},{"state":"Texas","offices":4,"addresses":[{"street":"Citi Private Bank","city":"Houston"},{"street":"Citi Private Bank","city":"Dallas"},{"street":"Citi Private Wealth Management","city":"San Antonio"},{"street":"Citi Private Wealth Management","city":"San Antonio"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-816-6000","stateRegisteredReps":2356,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Publication of periodicals or newsletters","Security ratings or pricing services","Other"],"financialPlanningClients":"2400","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"U.S. government/agency bonds","percent":7},{"label":"U.S. state and local bonds","percent":8},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":48},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"10 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/7059/PDF/7059.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Citigroup Global Markets have?","answer":"Citigroup Global Markets has 59,829 clients and manages $56 billion for them, as of September 2026. They include 34,655 other individuals, 23,441 high-net-worth individuals and 1,512 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Citigroup Global Markets offer?","answer":"Citigroup Global Markets provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers, publishing newsletters, security ratings or pricing and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Citigroup Global Markets use?","answer":"Citigroup Global Markets’ separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $43,634,893,425 and Citibank, N.A. (New York, NY), with $9,002,990,951. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Citigroup Global Markets have?","answer":"Citigroup Global Markets has 2,356 investment adviser representatives registered with state securities authorities, out of 7,036 employees, and 4,078 perform investment advisory functions. 5,004 are registered representatives of a broker-dealer and 945 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Citigroup Global Markets invest in?","answer":"At the end of its last fiscal year, Citigroup Global Markets’ separately managed accounts held 48% registered funds (mutual funds, ETFs, BDCs), 30% exchange-traded equities, 8% state and local bonds, 7% U.S. government and agency bonds, 2% investment grade corporate bonds, 2% pooled vehicles (private funds and similar), 2% cash and equivalents and 1% high-yield corporate bonds. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Citigroup Global Markets?","answer":"Citigroup Global Markets is owned through a holding company by Citigroup Inc. Its direct owners are Citigroup Financial Products Inc. (75% or more) and Citigroup Global Markets Holdings Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Citigroup Global Markets get paid?","answer":"Citigroup Global Markets is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}