Esperanza Castro
Professional Summary
Esperanza Castro, who also goes by Esperanza Orlandi Pena, is a registered financial advisor currently at CITIGROUP GLOBAL MARKETS INC. located in Miami, Florida. Esperanza is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Esperanza has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Esperanza Orlandi Pena
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
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
Contact Information
Main Address
388 Greenwich Street Tower Building, New York, NY 10013Mailing Address
Registration Department 540 Crosspoint Parkway, Getzville, NY 14068Phone Number
(212) 816-6000Established
New York since 10/15/1998Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
7,036SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | — |
| AGNELLO, MICHAEL | CHIEF FINANCIAL OFFICER | 7042560 |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP) | 5659131 |
| COLE, ROBERT JAMES | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESS | 6439548 |
| GLENFIELD, KEITH DAVID | DIRECTOR | 4403678 |
| JOSHI, NIKHIL | DIRECTOR | 4972440 |
| 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
59,757AUM (Assets Under Management)
$56,006,655,920Disclosures
Regulatory Event
588Civil Event
3Arbitration
642Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2026 | Cover Page | Report |
| 03/28/2025 | Cover Page | Report |
| 02/28/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(3/28/2022)
(10/10/2025)
(9/8/2015)
(8/4/2015)
(8/5/2015)
(10/20/2016)
(3/9/2016)
(8/4/2015)
(5/24/2017)
(5/24/2017)
(5/24/2017)
(3/9/2016)
(10/10/2025)
(3/9/2016)
(10/20/2016)
(6/23/2022)
(5/24/2017)
(10/1/2026)
(10/21/2016)
(10/21/2016)
(3/9/2016)
(3/9/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
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CRS (Client Relationship Summary) - RIA
CITIGROUP GLOBAL MARKETS INC. — Registered Investment Advisory firm
Version Date: Tue, Sep 03, 2024
Citigroup Global Markets Inc. (“we” or “us”) is registered as a broker-dealer and an investment adviser with the U.S. Securities and Exchange Commission. We are also a member of the Financial Industry Regulatory Authority, Inc. and the Securities Investor Protection Corporation. We offer both brokerage and investment advisory services. Those services and the fees we charge for them differ, and it is important for you to understand the differences. This relationship summary is designed to provide you with information about the different services that we offer and how we charge for those services. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
CRS (Client Relationship Summary) - BD
CITIGROUP GLOBAL MARKETS INC. — Broker-Dealer Firm
Version Date: Tue, Sep 03, 2024
Citigroup Global Markets Inc. (“we” or “us”) is registered as a broker-dealer and an investment adviser with the U.S. Securities and Exchange Commission. We are also a member of the Financial Industry Regulatory Authority, Inc. and the Securities Investor Protection Corporation. We offer both brokerage and investment advisory services. Those services and the fees we charge for them differ, and it is important for you to understand the differences. This relationship summary is designed to provide you with information about the different services that we offer and how we charge for those services. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
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