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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
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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
CFTC1
Exchanges65
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
ARTURO JOSE BOHORQUESNO 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
ANTONIO REYES MIRASHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
GARY MICHAEL ROSENCHIEF COMPLIANCE OFFICERNO
RAMSEY SALIBANO LISTED TITLENO
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 
 
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