Sung Moo Cho
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CRD#: 5015906
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.
Sung Moo Cho, who also goes by Sam Cho Mr, Sam Cho, Sung Moo Cho, was a registered financial professional .
Sung Moo is a previously registered financial professional and started their career in finance in 2006. Sung Moo had worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Management
Retirement Planning Strategies
Business Retirement Plans
Are you a "fiduciary"?
No
Aliases
Sam Cho Mr | Sam Cho | Sung Moo Cho
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
October 17, 2025 - May 13, 2026
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
October 17, 2025 - May 13, 2026
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 27, 2022 - October 21, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Hauppauge, NY
Past
January 22, 2021 - October 21, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Hauppauge, NY
Past
June 28, 2018 - February 24, 2021
JOSEPH STONE CAPITAL L.L.C.
BD
CRD#: 159744
NEW YORK, NY
Past
October 27, 2014 - July 2, 2018
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
NEW YORK, NY
Past
October 27, 2014 - July 2, 2018
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
NEW YORK, NY
Past
April 2, 2014 - July 11, 2014
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
LINDEN, NJ
Past
April 2, 2014 - July 11, 2014
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
LINDEN, NJ
Past
November 6, 2009 - April 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JERSEY CITY, NJ
Past
November 6, 2009 - April 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
JERSEY CITY, NJ
Past
July 31, 2007 - November 10, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
JERSEY CITY, NJ
Past
July 31, 2007 - November 10, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
JERSEY CITY, NJ
Past
January 1, 2007 - May 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SHORT HILLS, NJ
Past
November 27, 2006 - May 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SHORT HILLS, NJ
Past
May 17, 2006 - September 14, 2006
ANDREW GARRETT INC.
BD
CRD#: 29931
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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 |
| 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.
