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LH

Leonardo Hernandez

Some features on this profile are disabled
CRD#: 4807141
LH

Professional summary

Leonardo Hernandez was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Leonardo Hernandez, who also goes by Lenny Hernandez, Leonardo Hernandez III, Leonardo Hernandez III, Leonardo Hernandez, was a registered financial professional .

Leonardo is a previously registered financial professional and started their career in finance in 2004. Leonardo had worked at 18 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lenny Hernandez | Leonardo Hernandez Iii | Leonardo Hernandez Iii | Leonardo Hernandez

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

March 3, 2023 - November 9, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Lynbrook, NY
Past

March 3, 2023 - November 9, 2023

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Lynbrook, NY
Past

April 19, 2022 - March 14, 2023

FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC

BD
CRD#: 170845
Merrick, NY
Past

March 3, 2022 - March 17, 2023

LPL FINANCIAL LLC

RIA
CRD#: 6413
MERRICK, NY
Past

March 3, 2022 - March 17, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
MERRICK, NY
Past

June 13, 2019 - March 4, 2022

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
REGO PARK, NY
Past

May 13, 2019 - March 4, 2022

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
REGO PARK, NY
Past

October 26, 2018 - May 9, 2019

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
New York, NY
Past

October 23, 2018 - May 9, 2019

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
New York, NY
Past

September 6, 2018 - October 31, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
FLUSHING, NY
Past

December 3, 2015 - July 10, 2018

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
New York, NY
Past

December 2, 2015 - July 10, 2018

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
New York, NY
Past

June 30, 2015 - December 3, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
NEW YORK, NY
Past

June 30, 2015 - December 3, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

May 15, 2015 - June 24, 2015

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
NEW YORK, NY
Past

May 12, 2015 - June 24, 2015

SANTANDER SECURITIES LLC

BD
CRD#: 41791
NEW YORK, NY
Past

August 25, 2014 - April 17, 2015

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA
CRD#: 106693
NEW YORK, NY
Past

August 18, 2014 - April 17, 2015

MERCER ALLIED COMPANY, L.P.

BD
CRD#: 37404
NEW YORK, NY
Past

February 28, 2013 - July 29, 2014

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

February 28, 2013 - July 29, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 6, 2009 - March 8, 2013

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
NEW YORK, NY
Past

May 6, 2009 - March 8, 2013

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

September 8, 2008 - February 17, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BAYSIDE, NY
Past

August 28, 2008 - February 17, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BAYSIDE, NY
Past

March 5, 2008 - August 27, 2008

TD AMERITRADE, INC.

RIA
CRD#: 7870
NEW YORK, NY
Past

March 5, 2008 - August 27, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
NEW YORK, NY
Past

March 4, 2008 - August 27, 2008

TD AMERITRADE, INC.

BD
CRD#: 7870
NEW YORK, NY
Past

February 19, 2008 - February 25, 2008

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
WOODHAVEN, NY
Past

February 19, 2008 - February 25, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
WOODHAVEN, NY
Past

March 30, 2006 - February 7, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MANHASSET, NY
Past

December 21, 2005 - April 20, 2006

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

August 15, 2005 - October 11, 2005

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

August 15, 2005 - October 11, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

May 12, 2005 - August 24, 2005

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

July 20, 2004 - April 29, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, 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.
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
RR
IAR
Series 66
Date: 8/9/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2004
General Securities Representative Examination

Current Firm

CITIGROUP GLOBAL MARKETS INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CITIGROUP GLOBAL MARKETS INC. INVESTMENT ADVISORY PROGRAMS (1/5/2026)
CITIGROUP GLOBAL MARKETS, INC. ALTERNATIVE INVESTMENTS PLATFORM (7/16/2025)
CITIGROUP GLOBAL MARKETS INC. AND CITI PRIVATE BANK FINANCIAL PLANNING SERVICES (3/27/2025)
CITIGROUP GLOBAL MARKETS INC. CITI WEALTH BUILDER PROGRAM (3/27/2025)
FINANCIAL PLANNING SERVICES FOR CITI PERSONAL WEALTH MANAGEMENT CLIENTS (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
CITIGROUP FINANCIAL PRODUCTS INC.100% SHAREHOLDER
BARRATT, CHRISTOPHERCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP)5659131
CHIRICO, JOHN ADIRECTOR2916366
COLE, ROBERT JAMESCHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESS6439548
CONWAY, JOHN JAMESPRINCIPAL FINANCIAL OFFICER (INTERIM)1584619
DHOUIBI, STEPHANIE ANISSADIRECTOR7189271
KLEIN, ROBERT FRANCISCO-GENERAL COUNSEL2937015
MESHEL, ADAM REIDCO-GENERAL COUNSEL3101145
RICHARDSON, CYRUS BEGLEY IIICHIEF COMPLIANCE OFFICER5284855
VAROUS, DINADIRECTOR/CEO/PRESIDENT/CHAIRWOMAN5012034

Regulatory assets under management

Total Number of Accounts56,879
AUM (Assets Under Management)$ 46,870,946,575

Disclosures

Regulatory Event588
Civil Event3
Arbitration642

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/28/2025
Cover Page
Report
02/28/2024
Cover Page
Report

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

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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