CITIGROUP GLOBAL MARKETS INC.
Latest filing: Sep 20, 2024 (40 days ago)
AUM
$40,516,482,275
16% change vs. 1 year ago
6% change vs. 3 years ago
60% change vs. 5 years ago
35% change vs. 10 years ago
Employee Count
7,830
-1% change vs. 1 year ago
-4% change vs. 3 years ago
0% change vs. 5 years ago
-21% change vs. 10 years ago
Main Office
NEW YORK, NY
388 GREENWICH STREET, NEW YORK, NY, UNITED STATES, 10013
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $23.4 |
| Non-Discretionary | $17.1 |
| Total | $40.5 |
| Client | AUM |
|---|---|
| Retail | $30.7 |
| Pooled | $0.0 |
| Institutional | $9.8 |
| Total | $40.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 33,885 | $8.1 |
| Average Individual AUM | $238,129 | |
| HNW | 18,468 | $22.7 |
| Average HNW AUM | $1,226,598 | |
| Retail Total | 52,353 | $30.7 |
| Average Retail AUM | $586,821 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $32.0 |
| CITIBANK, N.A. | NEW YORK-NY-USA | $8.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $40.5 |
| Retail SMA AUM | $30.7 |
| Institutional SMA AUM | $9.8 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 30% | $12.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 10% | $4.1 |
| Municipal | 9% | $3.6 |
| Sovereign | 0% | $0.0 |
| IG Credit | 2% | $0.8 |
| HY Credit | 1% | $0.4 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 45% | $18.2 |
| Other Pools | 1% | $0.4 |
| Cash | 2% | $0.8 |
| Other | 0% | $0.0 |
| Total | 100% | $40.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CITI GLOBAL ALTERNATIVES, LLC | $22.2 | 324457 | |
| CITIGROUP ALTERNATIVE INVESTMENTS LLC | $0.3 | 119537 | |
| CITI PRIVATE ALTERNATIVES, LLC | $0.0 | broker-dealer | 153777 |
| CITIGROUP PRIVATE EQUITY LP | $0.0 | - | |
| CITICORP MERCHANT BANK LIMITED | $0.0 | broker-dealer | - |
| CITIBANK, N.A. | $0.0 | broker-dealer | - |
| CITITRUST COLOMBIA S.A. | $0.0 | trust company | - |
| CITITRUST LIMITED | $0.0 | trust company | - |
| CITIMAE INC | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS SINGAPORE SECURITIES PTE LTD | $0.0 | broker-dealer | - |
| CITITRUST PRIVATE TRUST (CAYMAN) LIMITED | $0.0 | trust company | - |
| CITIGROUP GLOBAL MARKETS VEHICLE SECURITIES INC. | $0.0 | - | |
| CITIBANAMEX CASA DE BOLSA, S.A. DE C.V., CASA DE BOLSA, INTEGRANTE DEL GRUPO FIANACIERO CITIBANAMEX | $0.0 | broker-dealer | - |
| CITIGROUP GLOBAL MARKETS REALTY CORP. | $0.0 | - | |
| CITIBANK (HONG KONG) LIMITED | $0.0 | broker-dealer | - |
| CITIVALORES S.A. COMISIONISTA DE BOLSA | $0.0 | broker-dealer | - |
| CITIBANK BERHAD | $0.0 | - | |
| CITIGROUP RISK BROKERS INC. | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS LIMITED | $0.0 | broker-dealer | - |
| CITIBANK ZAMBIA LIMITED | $0.0 | - | |
| CITIGROUP PRIVATE EQUITY (OFFSHORE) LLC | $0.0 | - | |
| GWII INFRASTRUCTURE INVESTMENTS LLP | $0.0 | - | |
| CITITRUST (SINGAPORE) LIMITED | $0.0 | trust company | - |
| CITIGROUP GLOBAL MARKETS JAPAN INC | $0.0 | broker-dealer | - |
| CITIGROUP GLOBAL MARKETS KOREA SECURITIES LTD. | $0.0 | broker-dealer | - |
| CITIGROUP PRIVATE EQUITY (CVCI GP) LLC | $0.0 | - | |
| MORTGAGE CAPITAL FUNDING INC. | $0.0 | - | |
| CITITRUST (CAYMAN) LTD | $0.0 | trust company | - |
| CITITRUST (JERSEY) LIMITED | $0.0 | trust company | - |
| CITIBANK CANADA INVESTMENT FUNDS LIMITED | $0.0 | broker-dealer | - |
| CITIBANK SENEGAL S.A. | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS MORTGAGE SECURITIES VI, INC. | $0.0 | - | |
| CITIGROUP LIFE AGENCY LLC | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS MAURITIUS PRIVATE LIMITED | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS TAIWAN SECURITIES COMPANY LIMITED | $0.0 | broker-dealer | - |
| FINANCIAL REASSURANCE COMPANY LIMITED | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS MORTGAGE SECURITIES III, INC. | $0.0 | - | |
| CITICORP SECURITIES SERVICES, INC. | $0.0 | broker-dealer | 15387 |
| CITIGROUP COMMERCIAL MORTGAGE SECURITIES INC. | $0.0 | - | |
| CITICORP INSURANCE USA, INC. | $0.0 | - | |
| CITIBANK (CHINA) CO., LTD | $0.0 | - | |
| CIGPF FUNDING CORP. | $0.0 | - | |
| CITIBANK EUROPE PLC | $0.0 | - | |
| LATIN AMERICAN INVESTMENT BANK BAHAMAS LIMITED | $0.0 | - | |
| CITITRUST (BAHAMAS) LTD. | $0.0 | trust company | - |
| CITIBANK KOREA INC. | $0.0 | trust company | - |
| CITICORP CAPITAL PHILIPPINES, INC | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS BRASIL, CORRETORA DE CAMBIO TITULOS E VALORES MOBILIARIOS S.A. | $0.0 | broker-dealer | - |
| CITIGROUP GLOBAL MARKETS EUROPE AG | $0.0 | broker-dealer | - |
| CITIBANK (SWITZERLAND) AG | $0.0 | broker-dealer | - |
| CITICORP INTERNATIONAL LIMITED | $0.0 | - | |
| CITITRUST (SWITZERLAND) LIMITED | $0.0 | trust company | - |
| CITIGROUP MORTGAGE LOAN TRUST INC. | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS CANADA INC. | $0.0 | broker-dealer | - |
| CITITRUST PRIVATE TRUST ZURICH GMBH | $0.0 | trust company | - |
| CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED | $0.0 | broker-dealer | - |
| CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED | $0.0 | - | |
| CITIBANK UGANDA LIMITED | $0.0 | - | |
| CITICORP TRUST SOUTH DAKOTA | $0.0 | trust company | - |
| CITIGROUP SAUDI ARABIA | $0.0 | broker-dealer | - |
| BANK HANDLOWY W WARSZAWIE S.A. (POLAND) | $0.0 | broker-dealer | - |
| CITIGROUP GLOBAL MARKETS ASIA LIMITED | $0.0 | broker-dealer | - |
| CMLTI ASSET TRUST | $0.0 | - | |
| CITIBANK TAIWAN LIMITED | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS MORTGAGE SECURITIES VII, INC. | $0.0 | - | |
| CITI REAL ESTATE FUNDING INC. | $0.0 | - | |
| CITIGROUP GLOBAL MARKETS MALAYSIA SDN. BHD | $0.0 | broker-dealer | - |
| CITIGROUP GLOBAL MARKETS AUSTRALIA PTY LIMITED | $0.0 | broker-dealer | - |
| CITINVERSIONES DE TITULOS Y VALORES, S. A. (PUESTO DE BOLSA AFILIADO A LA BOLSA DE VALORES DE LA REPUBLICA DOMINICANA) | $0.0 | broker-dealer | - |
| CITIGROUP GLOBAL MARKETS SINGAPORE PTE LTD. | $0.0 | broker-dealer | - |
| CITIVALORES S.A. | $0.0 | broker-dealer | - |
| HOUSING SECURITIES INC. | $0.0 | - | |
| CITICORP TRUST DELAWARE, N.A | $0.0 | trust company | - |
| CITIBANK CAMEROON | $0.0 | - | |
| CITIBANK-COLOMBIA S.A | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
15 active
| Name | Title |
|---|---|
| PLATT, DANA LYNN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES |
| MESHEL, ADAM REID | CO-GENERAL COUNSEL |
| TROMBETTA, SANTO VITO | PRINCIPAL OPERATIONS OFFICERS (FINOP) |
| KURSMAN, SCOTT CHARLES | CHIEF COMPLIANCE OFFICER |
| KLEIN, ROBERT FRANCIS | CO-GENERAL COUNSEL |
| CHIRICO, JOHN A | DIRECTOR |
| DHOUIBI, STEPHANIE ANISSA | DIRECTOR |
| HEPPOLETTE, JOHN DESMOND | DIRECTOR, CEO/CHAIRMAN/PRESIDENT |
| GATELY, TIMOTHY HUGH | DIRECTOR |
| VALDERRABANO, VALENTIN LUIS | DIRECTOR |
| VALENTI, JOHN ANGELO | CHIEF FINANCIAL OFFICER (INTERIM) |
ADVDB.CO • SOURCE: SEC
Representatives
2,432 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ROBERT ANDERSON | NEW YORK | NY | S63|2001-08-17|S66|2010-09-10 | ||||||
| MARTIN MOY | NEW YORK | NY | S63|1998-01-23|S65|1998-12-11|S66|2006-07-05 | CERTIFIED FINANCIAL PLANNER | |||||
| SUGEIN VASQUEZ | NEW YORK | NY | S63|2003-01-27|S65|2022-11-21 | ||||||
| STEPHANIE BADER | NEW YORK | NY | S66|2021-01-09 | ||||||
| GANNON MORRISON | NEW YORK | NY | S63|2018-12-11|S65|2019-03-29 | ||||||
| KEITH WONG | NEW YORK | NY | S66|2013-05-24 | ||||||
| JASON SMITH | NEW YORK | NY | S66|2009-12-10 | ||||||
| CAROL DAHL | NEW YORK | NY | S63|1988-10-04|S65|2002-09-18 | ||||||
| ANASTASIA LOMBARDI | NEW YORK | NY | S63|2002-12-16|S66|2017-07-11 | ||||||
| THOMAS BROWN | NEW YORK | NY | S63|2018-06-15|S66|2022-09-20 | ||||||
| AMIR MAKAREM | NEW YORK | NY | S63|2011-07-16|S65|2016-12-16 | ||||||
| MATTHEW GOULD | NEW YORK | NY | S66|2018-07-23 | ||||||
| LILI HUANG | NEW YORK | NY | S66|2023-03-06 | ||||||
| ALEXANDER GENNARO | NEW YORK | NY | S66|2017-12-29 | ||||||
| NORBERT LIEBLANG | NEW YORK | NY | S63|1998-07-28 | CERTIFIED FINANCIAL PLANNER | |||||
| FRANCISCO VERGARA HERMOSILLA | NEW YORK | NY | S66|2015-01-16 | ||||||
| KATHERINE MARKHAM | NEW YORK | NY | S66|2022-09-10 | ||||||
| ERNEST INFANTE | NEW YORK | NY | S63|2005-12-08|S65|2018-05-21 | ||||||
| RYAN AGNEW | NEW YORK | NY | S66|2021-03-09 | ||||||
| ANGELA LEAL GARCIA | NEW YORK | NY | S66|2018-09-25 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $40.5 | $0.0 | 0% | 7,830 | 0 | 0% |
| 2024-04-02 | $40.5 | $0.0 | 0% | 7,830 | 0 | 0% |
| 2023-04-04 | $34.9 | $5.7 | 16% | 7,927 | -97 | -1% |
| 2022-04-01 | $43.9 | -$3.4 | -8% | 9,102 | -1,272 | -14% |
| 2021-04-05 | $38.3 | $2.2 | 6% | 8,179 | -349 | -4% |
| 2020-04-01 | $32.9 | $7.6 | 23% | 8,047 | -217 | -3% |
| 2019-04-01 | $25.3 | $15.2 | 60% | 7,855 | -25 | 0% |
| 2018-04-02 | $31.1 | $9.4 | 30% | 8,126 | -296 | -4% |
| 2017-04-01 | $20.2 | $20.3 | 100% | 8,820 | -990 | -11% |
| 2016-04-01 | $22.3 | $18.2 | 82% | 10,193 | -2,363 | -23% |
| 2015-04-01 | $18.1 | $22.4 | 124% | 10,157 | -2,327 | -23% |
| 2014-04-01 | $30.0 | $10.5 | 35% | 9,950 | -2,120 | -21% |
| 2013-04-01 | $31.7 | $8.8 | 28% | 11,630 | -3,800 | -33% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-07/30/1993, AL-04/07/1993, AR-04/29/1993, AZ-12/17/2004, CA-07/08/1997, CO-02/28/2001, CT-07/15/1997, DC-01/24/1994, DE-08/27/2003, FL-04/17/1991, GA-04/03/1989, HI-06/03/1993, IA-01/01/1999, ID-10/09/1991, IL-12/28/1987, IN-02/06/2001, KS-09/12/1997, KY-01/02/2004, LA-10/16/2001, MD-10/08/1990, ME-10/09/1992, MI-12/17/2004, MN-03/20/1987, MO-09/04/1986, MS-12/17/2004, MT-12/01/1997, NC-01/23/2001, ND-02/08/2001, NE-07/31/1997, NH-05/12/1993, NJ-08/06/1994, NM-08/21/1991, NV-11/30/1990, NY-01/01/1974, OH-12/07/1999, OK-01/01/1998, OR-04/15/2003, PA-10/27/1981, PR-03/28/2013, RI-01/01/1998, SC-08/19/1993, SD-05/27/1993, TN-10/09/1997, TX-10/15/1998, UT-05/19/1993, VA-07/29/1987, VI-03/29/2016, VT-12/19/1994, WA-08/02/1993, WI-09/07/1990, WV-09/18/1997, WY-07/11/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION NEWSLETTERS SECURITY RATINGS |
| OTHER ACTIVITIES |
|
BROKER DEALER FUTURES MERCHANT SWAP DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV