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CRD#: 23988
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FIRM PROFILE
Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information
Where the Statistical Data for CITICORP INVESTMENT SERVICES Comes From
Understanding the Statistics for CITICORP INVESTMENT SERVICES and How They Compare to Other Firms Through Our Analysis
Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
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Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1
Arbitration
19
FIRM INFORMATION
Established
Delaware since 12/05/1988
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | ||
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 | |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | ||
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 | |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 | |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 | |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 | |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 | |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 | |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
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Advisor's working at CITICORP INVESTMENT SERVICES
JD
James Robert Daoust JR
PR
CRD#: 1160376
Location:
Scottsdale, AZ 85255
Company:
OSAIC WEALTH, INC.
Disclosures:
Experience:
42 years
Eric Joseph Berner
IAR
RR
CRD#: 5283669
Location:
Hendersonville, TN 37075
Company:
LPL FINANCIAL LLC
Disclosures:
Experience:
18 years
PW
Paul Weinberg
PR
CRD#: 1559874
Location:
New York, NY 10004
Company:
OPPENHEIMER & CO. INC.
Disclosures:
Experience:
39 years
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