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