William Garrett
Professional summary
William Garrett, who also goes by William Garrett Jr, William Garrett, Jr., 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.
William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 3 firms and has passed the Series 79TO, SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Garrett's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2006 - Present
CITIGROUP GLOBAL MARKETS INC.
Office #1: 388 Greenwich Street Tower Building, New York, NY 10013July 27, 2023 - Present
CITICORP SECURITIES SERVICES, INC.
Office #1: 390 - 388 Greenwich Street 388 Greenwich Street, New York, NY 10013August 24, 1998 - October 20, 2000
WSM HOLDINGS, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 25
Date: 3/6/2000
NYSE Trading Assistant Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
CITICORP SECURITIES SERVICES, INC.
CRD#: 15387 / SEC#: , 8-32117
Contact information
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 | CHIEF EXECUTIVE OFFICER/CHAIRMAN/PRESIDENT | 7545656 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | DIRECTOR | 7545656 |
| WADE, WILLIAM THOMAS | DIRECTOR | 2095481 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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