Thomas F. Pirone

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CRD#: 4851554

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.

Thomas Francis Pirone was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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

February 20, 2018 - July 31, 2024

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

Stamford, CT

Past

September 1, 2010 - July 31, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Stamford, CT

Past

September 25, 2006 - July 13, 2010

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

Past

March 6, 2006 - September 27, 2006

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 8, 2004 - March 6, 2006

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

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

Series 63

Date: 10/26/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/7/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
CITIGROUP INVESTMENT PARTNERS	MEMBER
CONWAY, JOHN JAMES	PRINCIPAL FINANCIAL OFFICER (FINOP)	1584619
DE ANDRADE, ROBERTO CARLOS	MANAGER	5841299
JEAN-BAPTISTE, ALEX	CHIEF COMPLIANCE OFFICER	6828963
ODONNELL, DANIEL GLENN	MANAGER	3160132
ODONNELL, NIALL	PRINCIPAL OPERATIONS OFFICER	6830897
REMAK, MICHAEL DAVID	CEO/MANAGER	2914374

Regulatory assets under management

Total Number of Accounts	183
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.

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Firm Stability Insights

Thomas F. Pirone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

NEUBERGER BERMAN MANAGEMENT LLC

LEHMAN BROTHERS INC.

NEUBERGER BERMAN MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/15/2006

Series 6

Date: 10/7/2004

Current Firm

CITI PRIVATE ALTERNATIVES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CITI PRIVATE ALTERNATIVES, LLC

TRUST BUT VERIFY

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