Sung Moo Cho
Professional summary
Sung Moo Cho was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sung Moo is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Sung Moo had worked at 10 firms, which includes CITIGROUP GLOBAL MARKETS INC., AMERIPRISE FINANCIAL SERVICES LLC, JOSEPH STONE CAPITAL L.L.C., MUTUAL OF AMERICA SECURITIES LLC, MUTUAL OF AMERICA LIFE INSURANCE COMPANY, CUSO FINANCIAL SERVICES L.P., WELLS FARGO CLEARING SERVICES LLC, CHASE INVESTMENT SERVICES CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, ANDREW GARRETT INC..
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2025 - May 13, 2026
CITIGROUP GLOBAL MARKETS INC.
October 17, 2025 - May 13, 2026
CITIGROUP GLOBAL MARKETS INC.
June 27, 2022 - October 21, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
January 22, 2021 - October 21, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
June 28, 2018 - February 24, 2021
JOSEPH STONE CAPITAL L.L.C.
October 27, 2014 - July 2, 2018
MUTUAL OF AMERICA SECURITIES LLC
October 27, 2014 - July 2, 2018
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
April 2, 2014 - July 11, 2014
CUSO FINANCIAL SERVICES, L.P.
April 2, 2014 - July 11, 2014
CUSO FINANCIAL SERVICES, L.P.
November 6, 2009 - April 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2009 - April 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 31, 2007 - November 10, 2009
CHASE INVESTMENT SERVICES CORP.
July 31, 2007 - November 10, 2009
CHASE INVESTMENT SERVICES CORP.
January 1, 2007 - May 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 27, 2006 - May 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2006 - September 14, 2006
ANDREW GARRETT INC.
Primary Firm SEC Registration
CITIGROUP GLOBAL MARKETS INC.
CRD#: 7059 / SEC#: 801-3387, 8-8177
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CITIGROUP GLOBAL MARKETS INC.
CRD#: 7059 / SEC#: 801-3387, 8-8177
Contact information
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 |
| COLE, ROBERT JAMES | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESS | 6439548 |
| 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 |
| RICHARDSON, CYRUS BEGLEY III | CHIEF COMPLIANCE OFFICER | 5284855 |
| 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 | 588 |
| Civil Event | 3 |
| Arbitration | 642 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 02/28/2024 |
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.
