{
  "crd_number": 7059,
  "slug": "citigroup-global-markets-inc-new-york-ny-7059",
  "primary_business_name": "CITIGROUP GLOBAL MARKETS INC.",
  "legal_name": "CITIGROUP GLOBAL MARKETS INC.",
  "dbas": [
    "CITI GLOBAL WEALTH AT WORK",
    "CITI INVESTMENT MANAGEMENT",
    "CITI PERSONAL WEALTH MANAGEMENT",
    "CITI PRIVATE BANK"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1964-02-23",
  "years_registered": 62,
  "period": "2026-10-01",
  "filing_date": "2026-09-10",
  "carried_forward": false,
  "raum_total": 56006655920.0,
  "raum_discretionary": 34964584439.0,
  "raum_non_discretionary": 21042071481.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 7036,
  "advisory_employees": 4078,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 509061225.0,
      "count": 143
    },
    "individuals": {
      "raum": 9545607987.0,
      "count": 34655
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 2842204202.0,
      "count": 11
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 1502986828.0,
      "count": 41
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 31953417699.0,
      "count": 23441
    },
    "pooled_investment_vehicles": {
      "raum": 2980740757.0,
      "count": 26
    },
    "corporations_other_businesses": {
      "raum": 6672637222.0,
      "count": 1512
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "pension_consulting",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "security_ratings_pricing",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 10,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://citi.com",
    "https://citiglobalwealth.com/atwork",
    "https://citigroup.com",
    "https://facebook.com/citi",
    "https://instagram.com/citi",
    "https://instagram.com/citiprivatebank",
    "https://linkedin.com/company/citi",
    "https://linkedin.com/showcase/citi-global-wealth-at-work",
    "https://linkedin.com/showcase/citi-private-bank",
    "https://privatebank.citibank.com",
    "https://tiktok.com/@citi",
    "https://x.com/citi",
    "https://youtube.com/@CITI",
    "https://youtube.com/@citiprivatebank"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7059",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/citigroup-global-markets-inc-new-york-ny-7059",
  "display_name": "Citigroup Global Markets Inc.",
  "summary": "Citigroup Global Markets Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 1964, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 10, 2026.",
  "citation": "AdvisorCensus. Citigroup Global Markets Inc. (CRD 7059): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Publication of periodicals or newsletters",
    "Security ratings or pricing services",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Citigroup Global Markets Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Citigroup Global Markets Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Citigroup Global Markets Inc. located?",
      "a": "Citigroup Global Markets Inc.'s principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 14 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Citigroup Global Markets Inc. registered with the SEC or a state?",
      "a": "Citigroup Global Markets Inc. is an SEC-registered investment advisory firm, registered since 1964. Status as filed: Approved. CRD 7059."
    },
    {
      "q": "How much does Citigroup Global Markets Inc. manage?",
      "a": "Citigroup Global Markets Inc. reports $56,006,655,920 in regulatory assets under management in its Form ADV filing dated September 10, 2026 (62% discretionary)."
    },
    {
      "q": "How have Citigroup Global Markets Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Citigroup Global Markets Inc.: Regulatory assets under management: $38,271,725,251 in the October 2021 data and $56,006,655,920 in the October 2026 data, up 46%. Total employees: 8,179 in October 2021 and 7,036 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Citigroup Global Markets Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (34,655); high net worth individuals (23,441); corporations or other businesses not listed above (1,512)."
    },
    {
      "q": "Which custodians does Citigroup Global Markets Inc. use?",
      "a": "Citigroup Global Markets Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Citibank, N.A. (affiliated with the firm) and Pershing LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Citigroup Global Markets Inc. report any disciplinary disclosures?",
      "a": "Reports 10 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters, 8 questions about regulatory matters, and 1 question about civil court matters (11.A(2), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.E(2), 11.G, 11.H(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/7059"
    },
    {
      "q": "What changed in Citigroup Global Markets Inc.'s recent Form ADV filings?",
      "a": "In the July 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 38271725251.0,
      "total_employees": 8179,
      "filing_date": "2021-09-27"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 43883104905.0,
      "total_employees": 9102,
      "filing_date": "2022-08-16"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 34863982805.0,
      "total_employees": 7927,
      "filing_date": "2023-10-03"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 40516482275.0,
      "total_employees": 7830,
      "filing_date": "2024-09-20"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 46870946575.0,
      "total_employees": 6903,
      "filing_date": "2025-07-20"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 56006655920.0,
      "total_employees": 7036,
      "filing_date": "2026-09-10"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Item 11 disclosure answers changed: 10 yes answers, previously 11 (now no: 11.H(1)(a)).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 4267 to 4078.",
        "Regulatory assets under management went from $46,870,946,575 to $56,006,655,920 (+19%).",
        "Changed its office addresses in Houston, TX.",
        "Changed its office addresses in Jacksonville, FL.",
        "Changed its office addresses in Miami, FL.",
        "Changed its office addresses in New York, NY.",
        "Changed its office addresses in San Antonio, TX.",
        "Added an office in Ny, NY.",
        "No longer lists an office in O'Fallon, MO.",
        "No longer lists an office in Tampa, FL."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer lists the business name Citi Personal Investments International.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Citibank, N.A.",
      "name_as_filed": "CITIBANK, N.A.",
      "affiliated": true
    },
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/citigroup-global-markets-inc-new-york-ny-7059.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 34655,
      "fewer_than_5": false,
      "raum": 9545607987.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 23441,
      "fewer_than_5": false,
      "raum": 31953417699.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 26,
      "fewer_than_5": false,
      "raum": 2980740757.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 41,
      "fewer_than_5": false,
      "raum": 1502986828.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 143,
      "fewer_than_5": false,
      "raum": 509061225.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 11,
      "fewer_than_5": false,
      "raum": 2842204202.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1512,
      "fewer_than_5": false,
      "raum": 6672637222.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 10 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7059",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}