JF
James J. Feeney
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CRD#: 1364751
JF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James J Feeney, who also goes by James Joseph Feeney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 16 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 31, Series 55, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Joseph Feeney
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 7, 2022 - April 24, 2025
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Jersey City, NJ
Past
April 7, 2022 - April 24, 2025
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 29, 2021 - January 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SUMMIT, NJ
Past
July 28, 2021 - January 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SUMMIT, NJ
Past
November 6, 2013 - July 12, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
November 6, 2013 - July 12, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, NJ
Past
March 11, 2011 - October 4, 2013
INVESTMENT PARTNERS ASSET MANAGEMENT
RIA
CRD#: 121812
METUCHEN, NJ
Past
March 2, 2011 - October 4, 2013
T.R. WINSTON & COMPANY, LLC
BD
CRD#: 10571
METUCHEN, NJ
Past
June 1, 2009 - February 25, 2011
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - February 25, 2011
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
July 17, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
July 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
September 10, 1991 - June 26, 2007
KEANE SECURITIES CO., INC.
BD
CRD#: 8452
NEW YORK, NY
Past
August 1, 1991 - August 14, 1991
KC MAY SECURITIES CORP.
BD
CRD#: 17833
NEW YORK, NY
Past
November 27, 1990 - August 7, 1991
JESUP & LAMONT SECURITIES CO., INC.
BD
CRD#: 6736
NEW YORK CITY, NY
Past
April 16, 1990 - November 28, 1990
SECURITIES SETTLEMENT CORPORATION
BD
CRD#: 7129
ISLIP, NY
Past
September 15, 1988 - January 15, 1990
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
December 14, 1987 - August 10, 1988
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
Past
October 14, 1987 - December 22, 1987
SLS SECURITIES COMPANY
BD
CRD#: 13332
Past
August 20, 1985 - November 18, 1985
JSC SECURITIES, INC.
BD
CRD#: 475
Past
August 20, 1985 - September 8, 1987
HAAS SECURITIES CORPORATION
BD
CRD#: 2104
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CITIGROUP GLOBAL MARKETS INC.
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED | SMITH BARNEY SHEARSON INC. | SMITH BARNEY INC. | SMITH BARNEY ASSET MANAGEMENT | SMITH BARNEY | SB ADVISOR | SALOMON SMITH BARNEY INC. | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | MYFI FINANCIAL WELLNESS PROGRAM | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INVESTMENT ADVISORY SERVICES | INVESTMENT ADVISORS | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DIVERSIFIED STRATEGIC PORTFOLIOS | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING AND EVALUATION SERVICES | CITIGROUP GLOBAL MARKETS INC. | CITIGROUP ASSET MANAGEMENT | CITI PRIVATE BANK | CITI PERSONAL WEALTH MANAGEMENT | CITI PERSONAL INVESTMENTS INTERNATIONAL | CITI INVESTMENT MANAGEMENT | CITI INSTITUTIONAL CONSULTING | CITI GLOBAL WEALTH AT WORK
CRD#: 7059 / SEC#: 801-3387, 8-8177
RIA
Registered Investment Advisory firm - SEC (2/23/1964 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/7/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CITIGROUP GLOBAL MARKETS INC.
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED | SMITH BARNEY SHEARSON INC. | SMITH BARNEY INC. | SMITH BARNEY ASSET MANAGEMENT | SMITH BARNEY | SB ADVISOR | SALOMON SMITH BARNEY INC. | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | MYFI FINANCIAL WELLNESS PROGRAM | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INVESTMENT ADVISORY SERVICES | INVESTMENT ADVISORS | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DIVERSIFIED STRATEGIC PORTFOLIOS | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING AND EVALUATION SERVICES | CITIGROUP GLOBAL MARKETS INC. | CITIGROUP ASSET MANAGEMENT | CITI PRIVATE BANK | CITI PERSONAL WEALTH MANAGEMENT | CITI PERSONAL INVESTMENTS INTERNATIONAL | CITI INVESTMENT MANAGEMENT | CITI INSTITUTIONAL CONSULTING | CITI GLOBAL WEALTH AT WORK
CRD#: 7059 / SEC#: 801-3387, 8-8177
RIA
Registered Investment Advisory firm - SEC (2/23/1964 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
388 Greenwich Street Tower Building, New York, NY 10013
Mailing Address
Registration Department 540 Crosspoint Parkway, Getzville, NY 14068
Phone number
(212) 816-6000
Established
New York since 10/15/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,903
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP) | 5659131 |
| CHIRICO, JOHN A | DIRECTOR | 2916366 |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (INTERIM) | 1584619 |
| DHOUIBI, STEPHANIE ANISSA | DIRECTOR | 7189271 |
| KLEIN, ROBERT FRANCIS | CO-GENERAL COUNSEL | 2937015 |
| MESHEL, ADAM REID | CO-GENERAL COUNSEL | 3101145 |
| PLATT, DANA LYNN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES | 6123347 |
| RICHARDSON, CYRUS BEGLEY III | CHIEF COMPLIANCE OFFICER | 5284855 |
| VALDERRABANO, VALENTIN LUIS | DIRECTOR | 7588283 |
| VAROUS, DINA | DIRECTOR/CEO/PRESIDENT/CHAIRWOMAN | 5012034 |
Regulatory assets under management
| Total Number of Accounts | 56,879 |
| AUM (Assets Under Management) | $ 46,870,946,575 |
Disclosures
| Regulatory Event | 587 |
| Civil Event | 5 |
| Arbitration | 641 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 02/28/2024 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
