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 accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
 Regulatory Actions 
 AgencyNumber
NFA0
CFTC1
Exchanges70
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(s) 10% or More
Financial Interest
MARK ROBERT BELLNO LISTED TITLE
NO
ARTURO JOSE BOHORQUESNO LISTED TITLE
NO
MAUREEN BURKENO LISTED TITLE
NO
CITIGROUP FINANCIAL PRODUCTS INC
YES
CITIGROUP GLOBAL MARKETS HOLDINGS INC
YES
FRANCISCO FERNANDEZ DE YBARRAHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JAMES A FORESEPRESIDENT
NO
BRIAN HELMUT HELLMANNNO LISTED TITLE
NO
JEROME DAVID KEMPHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
RAYMOND JEFFREY MCGUIREDIRECTOR
NO
WILLIAM MILLSDIRECTOR
NO
DEBBIE MANKEI NGNO LISTED TITLE
NO
ANTONIO REYES MIRASHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
GARY MICHAEL ROSENCHIEF COMPLIANCE OFFICER
NO
RAMSEY SALIBANO LISTED TITLE
NO
SANTO TROMBETTACHIEF OPERATING OFFICER
NO
JOHN ANGELO VALENTICHIEF FINANCIAL OFFICER
NO
 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