EP
Eliane E. Penha
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CRD#: 4363761
EP
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.
Eliane Elisabeth Prochnow Penha, who also goes by Eliane Elisabeth Prochnow Penha, Eliane Elisabethprochnowda Penha, Eliane Elizabeth Prochnow Penha, was a registered financial professional .
Eliane is a previously registered financial professional and started their career in finance in 2001. Eliane had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Eliane Elisabeth Prochnow Penha | Eliane Elisabethprochnowda Penha | Eliane Elizabeth Prochnow Penha
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
June 22, 2022 - November 12, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Jersey City, NJ
Past
June 22, 2022 - November 12, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Jersey City, NJ
Past
October 20, 2021 - May 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
October 20, 2021 - May 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 28, 2019 - September 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
August 27, 2019 - September 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
April 25, 2012 - October 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN FRANCISCO, CA
Past
April 25, 2012 - October 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN FRANCISCO, CA
Past
January 29, 2010 - January 24, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
October 1, 2009 - January 24, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
May 29, 2007 - August 31, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 10, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 17, 2002 - January 21, 2003
UBS INTERNATIONAL INC.
BD
CRD#: 107726
NEW YORK, NY
Past
April 3, 2001 - August 8, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
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 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
