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 accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
 Regulatory Actions 
 AgencyNumber
NFA0
CFTC1
Exchanges67
details...
 NFA Arbitration Decisions 
 RoleNumber
Claimant2
Respondent5
details...
 CFTC Reparations Cases 
Total68
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 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
MAUREEN BURKENO 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
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