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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 accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 0 Exchanges 25 details...   NFA Arbitration Decisions  Role Number Claimant 2 Respondent 5 details...   CFTC Reparations Cases Total 68 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 CITIGROUP FINANCIAL PRODUCTS INC YES CITIGROUP GLOBAL MARKETS HOLDINGS INC YES JOHN PIRNIE DAVIDSON III DIRECTOR NO FRANCISCO FERNANDEZ DE YBARRA DIRECTOR NO JAMES A FORESE PRESIDENT NO JEROME DAVID KEMP HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO LYNDON RUSSELL KEYES HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO WILLIAM MILLS DIRECTOR NO PAUL G MUOIO HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO THOMAS NELSON MURPHY CHIEF OPERATING OFFICER NO PAMELA ROOT CHIEF COMPLIANCE OFFICER NO CLIFFORD VERRON CHIEF FINANCIAL OFFICER NO History  Status Effective Date • SWAP FIRM APPROVED 01/10/2013  • SWAP DEALER PROVISIONALLY REGISTERED 12/31/2012  • SWAP FIRM PENDING 12/18/2012  • SWAP DEALER PENDING 12/18/2012  • EXEMPT FOREIGN FIRM AGENT APPROVED 11/09/1998  • FUTURES COMMISSION MERCHANT REGISTERED 12/03/1987  • NFA MEMBER APPROVED 07/01/1982  • FUTURES COMMISSION MERCHANT REGISTERED 01/01/1979