CITIGROUP GLOBAL MARKETS INC.

Broker-DealerFINRA MemberEst. 1964

Total AUM

$56B

Discretionary

$35B

62% of AUM

Accounts

59,757

Employees

7,036

Advisory reps

6,888

Brokerage reps

5,004

Firm details

Headquarters: New York, New York
CRD number: 7059
Registered since: February 23, 1964
Website: www.citigroup.com
Custodians: PERSHING LLC, CITI PRIVATE BANK
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI57.05%
Individuals17.04%
Corporations / Businesses11.91%
Pooled Investment Vehicles5.32%
State / Municipal Government5.07%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsSecurity Ratings / Pricing Services

Firm profile

FINTRX

Overview

Citigroup Global Markets Inc. operates as the broker-dealer and capital markets arm affiliated with the Citigroup franchise. It serves both individual/family and institutional clients, combining trade execution and product distribution with an array of advisory services. The firm is registered with the SEC since 1964 and conducts a mix of broker-dealer activities alongside roles as a futures commission merchant, CPO/CTA and a registered security‑based swap dealer. Its advisory capabilities include financial planning, portfolio management for individuals and pooled vehicles, pension consulting, manager selection, and publication or pricing services. Fee arrangements run on both percentage-of-AUM and fixed-fee bases, and the firm identifies as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds48%
Exchange Traded Equities30%
State & Local Bonds8%
US Government Bonds7%
Investment Grade Corp Bonds2%

Owners & executives

3 of 36

KATHERINE MOORE
Chief Investment OfficerCRD 4720543
ALEXANDRA PLASTARAS
Sector SpecialistCRD 6494308
KENNETH SWISS
Chief Administrative OfficerCRD 5432303

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Contacts

3 of 6852

Leonardo Diaz
BankerCRD 5515939
YULIA SOTNEVA
Co-PresidentCRD 6543808
MATTHEW POLLACK
Senior Vice PresidentCRD 4543224

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 990

Active vs passive

$35.4B in ETFs

Passive

98%

$34.7B

Active

2%

$673M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 2000 ETF (IWM)	BlackRock	Passive	Small Blend	$2.1B	8,469,615	5.93%

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Primary office

New York, NY

NEW YORK

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: NEW YORK
Address: 388 Greenwich St
Time zone: ET (UTC-5)
Office locations

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