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CU

Carlos A. Ugarte

Some features on this profile are disabled
CRD#: 1403328
CU

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.

Carlos Alfredo Ugarte, who also goes by Charlos Alfredo Ugarte, was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 1985. Carlos had worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlos Alfredo Ugarte

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.

Blog Corner

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®
None

Experience

Past

January 4, 2018 - January 24, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Palm Beach Gardens, FL
Past

January 3, 2018 - January 24, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Palm Beach Gardens, FL
Past

March 29, 2017 - January 2, 2018

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
PALM BEACH GARDENS, FL
Past

February 3, 2017 - January 2, 2018

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
PALM BEACH GARDENS, FL
Past

January 13, 2016 - January 31, 2017

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
WELLINGTON, FL
Past

January 11, 2016 - January 31, 2017

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
WELLINGTON, FL
Past

October 29, 2014 - November 17, 2014

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
JUPTIER, FL
Past

October 29, 2014 - November 17, 2014

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

September 24, 2008 - October 28, 2014

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
JUPITER, FL
Past

December 13, 2007 - October 28, 2014

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

August 8, 2006 - June 6, 2007

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

December 1, 2005 - August 4, 2006

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

January 2, 2001 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 25, 1998 - October 26, 1999

CONSECO EQUITY SALES, INC.

BD
CRD#: 4125
CARMEL, IN
Past

September 12, 1997 - April 29, 1998

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

May 6, 1997 - November 5, 1997

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

January 28, 1995 - April 25, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 25, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

March 3, 1989 - January 31, 1994

BARNETT INVESTMENTS, INC.

BD
CRD#: 14897
JACKSONVILLE, FL
Past

June 6, 1988 - April 15, 1989

BARNETT BOND SERVICE, INC.

BD
CRD#: 20852
Past

February 3, 1987 - April 9, 1988

PAMCO SECURITIES AND INSURANCE SERVICES

BD
CRD#: 11028
Past

August 26, 1986 - February 6, 1987

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404
Past

January 14, 1986 - June 9, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

August 21, 1985 - December 26, 1985

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

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.
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
RR
IAR
Series 66
Date: 9/23/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/17/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1985
General Securities Representative Examination

Current Firm

CITIGROUP GLOBAL MARKETS INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CITIGROUP GLOBAL MARKETS INC. INVESTMENT ADVISORY PROGRAMS (7/20/2025)
CITIGROUP GLOBAL MARKETS, INC. ALTERNATIVE INVESTMENTS PLATFORM (7/16/2025)
CITIGROUP GLOBAL MARKETS INC. AND CITI PRIVATE BANK FINANCIAL PLANNING SERVICES (3/27/2025)
CITIGROUP GLOBAL MARKETS INC. CITI WEALTH BUILDER PROGRAM (3/27/2025)
FINANCIAL PLANNING SERVICES FOR CITI PERSONAL WEALTH MANAGEMENT CLIENTS (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
CITIGROUP FINANCIAL PRODUCTS INC.100% SHAREHOLDER
BARRATT, CHRISTOPHERCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP)5659131
CHIRICO, JOHN ADIRECTOR2916366
CONWAY, JOHN JAMESPRINCIPAL FINANCIAL OFFICER (INTERIM)1584619
DHOUIBI, STEPHANIE ANISSADIRECTOR7189271
KLEIN, ROBERT FRANCISCO-GENERAL COUNSEL2937015
MESHEL, ADAM REIDCO-GENERAL COUNSEL3101145
PLATT, DANA LYNNCHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES6123347
RICHARDSON, CYRUS BEGLEY IIICHIEF COMPLIANCE OFFICER5284855
VALDERRABANO, VALENTIN LUISDIRECTOR7588283
VAROUS, DINADIRECTOR/CEO/PRESIDENT/CHAIRWOMAN5012034

Regulatory assets under management

Total Number of Accounts56,879
AUM (Assets Under Management)$ 46,870,946,575

Disclosures

Regulatory Event587
Civil Event5
Arbitration641

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/28/2025
Cover Page
Report
02/28/2024
Cover Page
Report
01/27/2023
Cover Page
Report

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.

Company Information

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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