Skip Navigation Links

Details

CITIGROUP GLOBAL MARKETS INC NFA ID: 0002026

Current Status
• SWAP FIRM APPROVED 
• SWAP DEALER PROVISIONALLY REGISTERED 
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
• NFA MEMBER APPROVED 
FCM Financial Information
Click the link below to view financial information for this firm.
View Financial Information
Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsYes
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC0
Exchanges57
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant2
Respondent5
details...
 
CFTC Reparations Cases
Total68
details...
Formerly Known As
• SALOMON SMITH BARNEY INC
• SMITH BARNEY HARRIS UPHAM & CO INC
• SMITH BARNEY INC
• SMITH BARNEY SHEARSON INC
 
Business Address
388 GREENWICH STREET
NEW YORK, NY  10013
UNITED STATES
212-816-6000
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
MARK ROBERT BELLNO LISTED TITLENO
CITIGROUP FINANCIAL PRODUCTS INC YES
CITIGROUP GLOBAL MARKETS HOLDINGS INC YES
FRANCISCO FERNANDEZ DE YBARRAHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JAMES A FORESEPRESIDENTNO
BRIAN HELMUT HELLMANNNO LISTED TITLENO
JEROME DAVID KEMPHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
FRANCIS L MARSIGLIANONO LISTED TITLENO
RAYMOND JEFFREY MCGUIREDIRECTORNO
WILLIAM MILLSDIRECTORNO
DEBBIE MANKEI NGNO LISTED TITLENO
VICTOR ERNEST PAGANOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
ANTONIO REYES MIRASHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
GARY MICHAEL ROSENCHIEF COMPLIANCE OFFICERNO
SANTO TROMBETTACHIEF OPERATING OFFICERNO
JOHN ANGELO VALENTINO LISTED TITLENO
CLIFFORD VERRONCHIEF FINANCIAL OFFICERNO
History
 Status Effective Date
• SWAP FIRM APPROVED01/10/2013 
• SWAP DEALER PROVISIONALLY REGISTERED12/31/2012 
• SWAP FIRM PENDING12/18/2012 
• SWAP DEALER PENDING12/18/2012 
• EXEMPT FOREIGN FIRM AGENT APPROVED11/09/1998 
• FUTURES COMMISSION MERCHANT REGISTERED12/03/1987 
• NFA MEMBER APPROVED07/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED01/01/1979 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.