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Adam B. Harper

Some features on this profile are disabled
CRD#: 4210710
AH

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.

Adam B Harper, who also goes by Adam B Harper Mr, was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 2008. Adam had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 24 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam B Harper Mr

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.
SAM Harper Property LTD; Investment-related; Buckingham, Bucks, England; Affiliation started 07/01/2015; Title: Shareholder; Duties: Discussions with business manager and other partners on building development, leasing and financing of property; No time is devoted to the business each month during security trading hours; 2 hours are devoted to the business each month outside of security trading hours. ///// Pharre Ltd; Investment-related; Nature: Solar farm and farmland; Buckingham, BUCKS, UK; Started: 8/31/2022; Title: Shareholder; Duties: Limited to review of significant decisions re: the solar farm; No time is devoted each month during securities trading hours; 1-5 hours are devoted each month outside of securities trading hours. /////100 East Putnam LLC; Investment-related; Nature: Residential real estate.; Cos Cob, CT; Started: June 26, 2023.; Title: Limited Partner.; Duties: Initial investment of $250k approved-this increase is for $190k for a total of $440k.; 0. hours are devoted each month during securities trading hours; 1-5. hours are devoted each month outside of securities trading hours. /////

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

April 11, 2017 - November 11, 2024

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
New York, NY
Past

May 19, 2010 - November 11, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
New York, NY
Past

March 11, 2008 - November 11, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
New York, NY

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: 5/19/2008
Uniform Combined 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: 3/8/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/31/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/29/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

CP
CITI PRIVATE ALTERNATIVES, LLC
CITI GLOBAL ADVISORY, LLC | CITI PRIVATE ALTERNATIVES, LLC | CITI PRIVATE ADVISORY,LLC | CITI PRIVATE ADVISORY, LLC | CITI GLOBAL ALTERNATIVES, LLC

CRD#: 153777 / SEC#: 801-71561, 8-69789

RIA
Registered Investment Advisory firm - SEC (6/30/2010 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
388 Greenwich Street 29th Floor, New York, NY 10013
Mailing Address
388 Greenwich Street 29th Floor, New York, NY 10013
Phone number
(212) 559-1000
Established
Delaware since 04/01/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
95

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 / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
CITIGROUP INVESTMENT PARTNERSMEMBER
CONWAY, JOHN JAMESPRINCIPAL FINANCIAL OFFICER (FINOP)1584619
DE ANDRADE, ROBERTO CARLOSMANAGER5841299
JEAN-BAPTISTE, ALEXCHIEF COMPLIANCE OFFICER6828963
ODONNELL, DANIEL GLENNMANAGER3160132
ODONNELL, NIALLPRINCIPAL OPERATIONS OFFICER6830897
REMAK, MICHAEL DAVIDCEO/MANAGER2914374

Regulatory assets under management

Total Number of Accounts183
AUM (Assets Under Management)$ 18,347,749,864

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

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

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