CK
Craig D. Kolb
CITIGROUP GLOBAL MARKETS
New York, NY 10013
Some features on this profile are disabled
CRD#: 2734349
CK
Professional summary
Craig David Kolb, who also goes by Craig Kolb, is a registered financial professional currently at CITIGROUP GLOBAL MARKETS INC. located in New York, New York and CITICORP SECURITIES SERVICES, INC. located in New York, New York.
Craig is registered as a RR (Registered Representative) and started their career in finance in 1996. Craig has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Craig Kolb
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) - BD
Click below to view Craig David Kolb's CRS (Customer Relationship Summary).
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
Current
September 15, 2011 - Present
CITIGROUP GLOBAL MARKETS INC.
Office #1: 388 Greenwich Street, New York, NY 10013RIA
BD
CRD#: 7059
New York, NY
Current
April 22, 2016 - Present
CITICORP SECURITIES SERVICES, INC.
Office #1: Investor Services 388 Greenwich Street 3rd Floor, New York, NY, 10013BD
CRD#: 15387
New York, NY
Past
May 21, 2003 - September 14, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
November 16, 2001 - April 3, 2002
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
July 11, 1996 - November 19, 2001
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/15/2012)
RR
Alaska(3/15/2012)
RR
Arizona(3/15/2012)
RR
Arkansas(3/15/2012)
RR
California(3/15/2012)
RR
Colorado(3/15/2012)
RR
Connecticut(3/15/2012)
RR
Delaware(3/15/2012)
RR
District of Columbia(3/15/2012)
RR
Florida(3/15/2012)
RR
Georgia(3/15/2012)
RR
Hawaii(3/15/2012)
RR
Idaho(3/15/2012)
RR
Illinois(3/15/2012)
RR
Indiana(3/15/2012)
RR
Iowa(3/15/2012)
RR
Kansas(3/15/2012)
RR
Kentucky(3/15/2012)
RR
Louisiana(3/15/2012)
RR
Maine(3/15/2012)
RR
Maryland(3/15/2012)
RR
Massachusetts(3/15/2012)
RR
Michigan(3/15/2012)
RR
Minnesota(3/15/2012)
RR
Mississippi(3/15/2012)
RR
Missouri(3/15/2012)
RR
Montana(3/15/2012)
RR
Nebraska(3/15/2012)
RR
Nevada(3/15/2012)
RR
New Hampshire(3/15/2012)
RR
New Jersey(3/15/2012)
RR
New Mexico(3/15/2012)
RR
New York(9/15/2011)
RR
North Carolina(3/16/2012)
RR
North Dakota(3/15/2012)
RR
Ohio(3/15/2012)
RR
Oklahoma(3/15/2012)
RR
Oregon(3/15/2012)
RR
Pennsylvania(3/15/2012)
RR
Puerto Rico(3/15/2012)
RR
Rhode Island(3/15/2012)
RR
South Carolina(3/15/2012)
RR
South Dakota(3/15/2012)
RR
Tennessee(3/15/2012)
RR
Texas(3/15/2012)
RR
Utah(3/15/2012)
RR
Vermont(3/15/2012)
RR
Virgin Islands(3/15/2012)
RR
Virginia(3/15/2012)
RR
Washington(3/15/2012)
RR
West Virginia(3/15/2012)
RR
Wisconsin(3/15/2012)
RR
Wyoming(3/15/2012)
Exams
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
RR
Series 55
Date: 12/19/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CS
CITICORP SECURITIES SERVICES, INC.
CITICORP SECURITIES SERVICES, INC. | NEWBRIDGE SECURITIES INC.
CRD#: 15387 / SEC#: , 8-32117
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
390 - 388 Greenwich Street 388 Greenwich Street, New York, NY 10013
Mailing Address
Registration Department 540 Crosspoint Parkway, Getzville, NY 14068
Phone number
(212) 723-7600
Established
Delaware since 04/16/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER | 5659131 |
| BROPHY, RYAN JAMES | CCO | 2668207 |
| CONWAY, JOHN JAMES | CHIEF FINANCIAL OFFICER (FINOP) | 1584619 |
| LARA, PABLO I | DIRECTOR | 5398044 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | DIRECTOR | 7545656 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | CHIEF EXECUTIVE OFFICER/CHAIRMAN/PRESIDENT | 7545656 |
| WADE, WILLIAM THOMAS | DIRECTOR | 2095481 |
Disclosures
| Regulatory Event | 2 |
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.
