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Sergio Norena

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CRD#: 4569851
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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.

Sergio Norena was a registered financial professional .

Sergio is a previously registered financial professional and started their career in finance in 2002. Sergio had worked at 5 firms and has passed the Series 66, Series 52TO, Series 31, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 17, 2018 - December 15, 2025

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
Miami, FL
Past

May 6, 2011 - December 15, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Miami, FL
Past

March 28, 2011 - December 15, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Miami, FL
Past

March 21, 2011 - March 21, 2011

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Miami, FL
Past

January 1, 2010 - June 23, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

January 1, 2010 - June 23, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

August 23, 2005 - January 1, 2010

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
NEW YORK, NY
Past

July 26, 2005 - January 1, 2010

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

October 25, 2002 - July 13, 2005

EFG CAPITAL INTERNATIONAL LLC

RIA
CRD#: 28349
MIAMI, FL
Past

October 24, 2002 - July 13, 2005

EFG CAPITAL INTERNATIONAL LLC

BD
CRD#: 28349
MIAMI, FL

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: 7/23/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 8/23/2019
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/17/2002
Municipal Securities Principal 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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