CITICORP SECURITIES SERVICES, INC. · BrokerCheck Report CITICORP SECURITIES SERVICES, INC. Section...

BrokerCheck Report

CITICORP SECURITIES SERVICES, INC.

Section Title

Report Summary

Firm History

CRD# 15387

1

7

Firm Profile 2 - 6

Page(s)

Firm Operations 8 - 40

Disclosure Events 41

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CITICORP SECURITIES SERVICES,INC.

CRD# 15387

SEC# 8-32117

Main Office Location

390 - 388 GREENWICH STREET388 GREENWICH STREETNEW YORK, NY 10013Regulated by FINRA New York Office

Mailing Address

REGISTRATION DEPARTMENT540 CROSSPOINT PARKWAYGETZVILLE, NY 14068

Business Telephone Number

(212) 723-7600

Report Summary for this Firm

This report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed report.

Disclosure Events

Brokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been involved.

Are there events disclosed about this firm? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 2

Firm Profile

This firm is classified as a corporation.

This firm was formed in Delaware on 04/16/1984.

Its fiscal year ends in December.

Firm History

Information relating to the brokerage firm's historysuch as other business names and successions(e.g., mergers, acquisitions) can be found in thedetailed report.

Firm Operations

Is this brokerage firm currently suspended with anyregulator? No

This firm conducts 1 type of business.

This firm is affiliated with financial or investmentinstitutions.

This firm does not have referral or financialarrangements with other brokers or dealers.

This firm is registered with:

• the SEC• 2 Self-Regulatory Organizations• 52 U.S. states and territories

www.finra.org/brokercheck User Guidance

1©2018 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC.


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This firm is classified as a corporation.

This firm was formed in Delaware on 04/16/1984.

CRD#

This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name isused.

Firm Profile

Firm Names and Locations

Its fiscal year ends in December.

CITICORP SECURITIES SERVICES, INC.

SEC#

15387

8-32117

Main Office Location

Mailing Address

Business Telephone Number

Doing business as CITICORP SECURITIES SERVICES, INC.

(212) 723-7600

Regulated by FINRA New York Office

390 - 388 GREENWICH STREET388 GREENWICH STREETNEW YORK, NY 10013

REGISTRATION DEPARTMENT540 CROSSPOINT PARKWAYGETZVILLE, NY 14068






This section provides information relating to all direct owners and executive officers of the brokerage firm.

Direct Owners and Executive Officers

Firm Profile

Position

Percentage of Ownership

Is this a public reportingcompany?

Position Start Date

Does this owner direct themanagement or policies ofthe firm?

CITIGROUP FINANCIAL PRODUCTS INC.

100% SHAREHOLDER

75% or more

No

Domestic Entity

08/1999

Yes

Is this a domestic or foreignentity or an individual?

Legal Name & CRD# (if any):

Position



Position Start Date


ARNOLD, EDWARD RAYMOND

CCO

Less than 5%

No

Individual

01/2005

Yes

1876464



Position


Position Start Date

CONTI, THOMAS JOSEPH

DIRECTOR

Less than 5%

Individual

09/2015

4438166








Direct Owners and Executive Officers (continued)

Firm Profile




Less than 5%

No

Yes

Position



Position Start Date


REGAZZI, THOMAS P.

CEO/PRESIDENT

Less than 5%

No

Individual

04/2018

Yes

3254984



Position



Position Start Date


REGAZZI, THOMAS P.

DIRECTOR

Less than 5%

No

Individual

04/2018

Yes

3254984



SALIBA, RAMSEY

5358958







Direct Owners and Executive Officers (continued)

Firm Profile

Position



Position Start Date


CHIEF FINANCIAL OFFICER / FINOP

Less than 5%

No

Individual

09/2009

Yes

5358958


Position



Position Start Date


WADE, WILLIAM THOMAS

DIRECTOR

Less than 5%

No

Individual

07/2016

Yes

2095481








This section provides information relating to any indirect owners of the brokerage firm.

Indirect Owners

Firm Profile

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

100% SHAREHOLDER

CITIGROUP FINANCIAL PRODUCTS INC.

75% or more

No

Domestic Entity

08/1999

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established




CITIGROUP INC.

100% SHAREHOLDER

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

75% or more

Yes

Domestic Entity

10/1998

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established









Firm History

This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

No information reported.






Firm Operations

RegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC registration.

This firm is currently registered with the SEC, 2 SROs and 52 U.S. states and territories.

SEC Registration Questions

This firm is registered with the SEC as:

A broker-dealer:

A broker-dealer and government securities broker or dealer:

A government securities broker or dealer only:

This firm has ceased activity as a government securities broker or dealer:

Yes

No

No

No

Federal Regulator Status Date Effective

SEC Approved 07/27/1984

Self-Regulatory Organization Status Date Effective

FINRA Approved 01/11/1985

New York Stock Exchange Approved 12/06/1984






Firm Operations

Registrations (continued)

U.S. States &Territories

Status Date Effective

Alabama Approved 10/31/1986

Alaska Approved 10/22/1986

Arizona Approved 07/25/1986

Arkansas Approved 04/06/1987

California Approved 01/09/1985

Colorado Approved 08/18/1986

Connecticut Approved 04/25/1985

Delaware Approved 02/06/1986

District of Columbia Approved 08/01/1986

Florida Approved 02/07/1985

Georgia Approved 08/12/1986

Hawaii Approved 03/05/1987

Idaho Approved 11/03/1986

Illinois Approved 06/03/1986

Indiana Approved 08/28/1986

Iowa Approved 11/14/1986

Kansas Approved 01/02/1987

Kentucky Approved 10/20/1986

Louisiana Approved 11/13/1986

Maine Approved 08/08/1986

Maryland Approved 05/11/2000

Massachusetts Approved 08/04/1986

Michigan Approved 01/16/1987

Minnesota Approved 07/24/1986

Mississippi Approved 11/04/1986

Missouri Approved 11/12/1986

Montana Approved 10/15/1986

Nebraska Approved 08/25/1986

Nevada Approved 01/09/1990

New Hampshire Approved 10/03/1986

New Jersey Approved 04/15/1985

New Mexico Approved 11/06/1986

New York Approved 08/21/1984

U.S. States &Territories

Status Date Effective

North Carolina Approved 09/11/1986

North Dakota Approved 10/22/1986

Ohio Approved 01/21/1997

Oklahoma Approved 11/03/1986

Oregon Approved 12/10/1986

Pennsylvania Approved 04/15/1985

Puerto Rico Approved 04/21/1987

Rhode Island Approved 09/18/1986

South Carolina Approved 09/03/1986

South Dakota Approved 08/19/1986

Tennessee Approved 09/04/1986

Texas Approved 11/24/1986

Utah Approved 01/09/1987

Vermont Approved 10/14/1986

Virginia Approved 02/05/1986

Washington Approved 07/30/1986

West Virginia Approved 10/30/1986

Wisconsin Approved 04/22/1987

Wyoming Approved 10/27/1986






Firm Operations

Types of BusinessThis section provides the types of business, including non-securities business, the brokerage firm is engaged in orexpects to be engaged in.

Other Types of Business

This firm does not effect transactions in commodities, commodity futures, or commodity options.This firm does not engage in other non-securities business.

Non-Securities Business Description:

This firm currently conducts 1 type of business.

Types of Business

Other - FACILITATING SECURITIES LENDING AND BORROWING ACTIVITIES FOR CUSTOMERS WHICH WILLCONSIST PRIMARILY OF PROFESSIONAL INVESTORS AND OTHER CORPORATE BUSINESS ENTITIES.






Firm Operations

Clearing Arrangements

This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s).

Introducing Arrangements

This firm does not refer or introduce customers to other brokers and dealers.






Firm Operations

Industry Arrangements

This firm does have books or records maintained by a third party.

This firm does have accounts, funds, or securities maintained by a third party.

This firm does not have customer accounts, funds, or securities maintained by a third party.

This firm does not have individuals who control its management or policies through agreement.

This firm does not have individuals who wholly or partly finance the firm's business.

Control Persons/Financing

Name: CITIGROUP GLOBAL MARKETS INC.

Business Address: 390 - 388 GREENWICH STREETNEW YORK, NY 10013-2396

CRD #: 7059

Effective Date: 05/14/2018

Description: CSSI UTILIZES CGMI'S SYSTEMS TO MAINTAIN BOOKS & RECORDSREQUIRED UNDER RULE 17A-3 OF THE SECURITIES EXCHANGE ACT OF1934.

Name: CITIGROUP GLOBAL MARKETS INC.

Business Address: 390 - 388 GREENWICH STREETNEW YORK, NY 10013-2396

CRD #: 7059

Effective Date: 02/06/2007

Description: CSSI ENTERED INTO A PROPRIETARY ACCOUNTS OF INTRODUCINGBROKERS (PAIB) AGREEMENT WITH CGMI FOR THE PURPOSE OFENABLING CSSI TO TREAT ITS PAIB ASSETS HELD WITH CGMI ASALLOWABLE FOR PURPOSES OF THE RULE 15C3-1 OF THE SECURITIESEXCHANGE ACT OF 1934 (THE "NET CAPITAL RULE").






Firm Operations

Organization AffiliatesThis section provides information on control relationships the firm has with other firms in the securities, investmentadvisory, or banking business.

This firm is, directly or indirectly:

· in control of· controlled by· or under common control withthe following partnerships, corporations, or other organizations engaged in the securities or investmentadvisory business.

No

Yes

No

10/08/1998

388 GREENWICH STREETNEW YORK, NY 10013

CITIGROUP GLOBAL MARKETS FINANCIAL PRODUCTS LLC is under common control with the firm.

THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMONCONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

Description:

Investment AdvisoryActivities:

Securities Activities:

Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

AUSTRALIA

Yes

07/01/2011

CITIGROUP CENTRE2 PARK STREETSYDNEY, AUSTRALIA 2000

CITIGROUP FIRST INVESTMENT MANAGEMENT AUSTRALIA LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:


CSCAL NOMINEES PTY LIMITED is under common control with the firm.

Business Address: 13©2018 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC.





Firm Operations

Organization Affiliates (continued)

No

Yes

AUSTRALIA

Yes

02/01/2007



Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

GERMANY

Yes

12/07/2001

ERNST-SCHNEIDER-PLATZ 1,DDUSSELDORF, GERMANY 40212

BOERSE DUESSELDORF AG is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

ENGLAND

Yes

12/31/2010

CITIGROUP CENTRE, CANADA SQUARECANARY WHARFLONDON, ENGLAND E14 5LB

157629

CITI CAPITAL ADVISORS LIMITED is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:






Firm Operations


Yes


Description:


No

Yes

CHILE

Yes

08/01/2011

AUGUSTINAS 975SANTIAGO, CHILE

BANCHILE CORREDORES DE BOLSA S.A. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

BERMUDA

Yes

08/01/2011

WASHINGTON MALL I, 3RD FLOORCHURCH STREETHAMILTON, BERMUDA

ITIGROUP SECURITIES SERVICES (BERMUDA) LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

08/01/2011

14-15F, NO. 1SONGZHI ROADTAIPEI, TAIWAN 110

CITIGROUP GLOBAL MARKETS TAIWAN SECURITIES COMPANY LIMITED is under common control with thefirm.

Effective Date:

Business Address:






Firm Operations


No

Yes

THAILAND

Yes

08/01/2011


Description:



Country:

Foreign Entity:

Effective Date:

No

Yes

THAILAND

Yes

08/01/2011

399 INTERCHANGE 21 BUILDING, 18TH FLOORSUKHUMUIT ROADBANGKOK, THAILAND 10110

CITICORP SECURITIES (THAILAND) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

08/01/2011

399 PARK AVENUENEW YORK, NY 10022

119537

CITIGROUP ALTERNATIVE INVESTMENTS LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:






Firm Operations

Organization Affiliates (continued)THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMONCONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

Description:

Yes

No

No

08/01/2011

666 FIFTH AVENUE6TH FLOORNEW YORK, NY 10103

153777

CITI PRIVATE ADVISORY, LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

Yes

RUSSIA

Yes

08/01/2011

DUCAT PLACE8-10 GASLEKA STREETMOSCOW, RUSSIA 125047

ZAO CITIBANK is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

08/01/2011

CARRERA 9ANO. 99-02BOGOTA, COLOMBIA

CITITRUST COLOMBIA S.A. is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


Yes

No

COLOMBIA

Yes


Description:



Country:

Foreign Entity:

Yes

No

CHANNEL ISLANDS

Yes

08/01/2011

38 ESPLANADEST. HELIER, JERSEY JE4 8ZT

CITITRUST (JERSEY) LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

CAYMAN ISLANDS

Yes

08/01/2011

CIBC FINANCIAL CENTRE-2ND FLOORGEORGETOWN, GRAND CAYMAN

CITITRUST (CAYMAN) LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

110 THOMPSON BOULEVARDNASSAU, BAHAMAS

CITITRUST (BAHAMAS) LTD. is under common control with the firm.

Business Address:18©2018 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC.





Firm Operations


Yes

No

BAHAMAS

Yes

08/01/2011

110 THOMPSON BOULEVARDNASSAU, BAHAMAS


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

HONG KONG

Yes

08/01/2011

8F, DORSET HOUSE979 KING'S ROADQUARRY BAY, HONG KONG

CITIBANK (HONG KONG) LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

SPAIN

Yes

08/01/2011

AVENIDA DE EUROPA 19MADRID, SPAIN 28100

CITIBANK ESPANA, S.A. (SPAIN) is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations



Description:

Yes

No

CHANNEL ISLANDS

Yes

08/01/2011

38 ESPLANADE STREETHELIER, JERSEY JE4 8QB

CTIBANK (CHANNEL ISLANDS) LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

POLAND

Yes

08/01/2011

SENATURSKA 16WARSAW, POLAND 00-923

BANK HANDLOWY W WARSZAWIE S.A. (POLAND) is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

MEXICO

Yes

08/01/2011

EDIFICIO NORTEPISO 51MEXICO CITY, MEXICO

BANCO NACIONAL DE MEXICO S.A. is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


Yes

No


Description:



Yes

No

MEXICO

Yes

08/01/2011

REFORMA 404PISO 2MEXICO CITY, MEXICO

AFORE BANAMEX, S.A. DE C.V. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

HONG KONG

Yes

08/01/2011

50/F, CITIBANK TOWER, CITIBANK PLAZE3 GARDEN ROADCENTRAL, HONG KONG

CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

608 ST. JAMES COURTST. DENIS STREETPORT LOUIS, MAURITIUS

CITIGROUP GLOBAL MARKETS MAURITIUS PRIVATE LIMITED is under common control with the firm.

Business Address:






Firm Operations


No

Yes

MAURITIUS

Yes

08/01/2011

608 ST. JAMES COURTST. DENIS STREETPORT LOUIS, MAURITIUS


Description:



Country:

Foreign Entity:

Effective Date:

No

Yes

MALAYSIA

Yes

08/01/2011

MENARA CITIBANK165 JALAN AMPANGKUALA LUMPUR, MALAYSIA 50450

CITIGROUP GLOBAL MARKETS MALAYSIA SDN. BHD is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

INDIA

Yes

08/01/2011

BAKHTAWAR, 12FNARIMAN POINTMUMBAI, INDIA 400021

CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations



Description:

No

Yes

ISRAEL

Yes

08/01/2011

21 HAARBAHA STREETPLATINUM BUILDINGTEL AVIV, ISRAEL 64739

CITIGROUP FINANCIAL PRODUCTS ISRAEL LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

JAMAICA

Yes

08/01/2011

63-67 KNUTSFORD BOULEVARDKINGSTON, JAMAICA

CIFINANCE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

COSTA RICA

Yes

08/01/2011

NORTE DE LA ROTONDA JUAN PABLO IICENTRO COMERCIAL CAFESASAN JOSE, COSTA RICA

CITI VALORES ACCIVAL S.A. is under common control with the firm.

Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No

Yes

COSTA RICA


Description:



Country:

No

Yes

TURKEY

Yes

08/01/2011

BUYUKDERE C. KONAKLAR M. YAPI KREDI PLAZAC BLOK KISTANBUL, TURKEY

CITI MENKUL DEGERLER ANONIM SIRKETI is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

Yes

MEXICO

Yes

11/01/2001

AV. PASEO DEL LA REFORMA NO. 398COL. JUAREZMEXICO, D.F., MEXICO 06600

ACCIONES Y VALORES BANAMEX, S.A. DE C.V. CASA DE BOLSA, INTEGRANTE DEL GRUPO FINANCIEROBANAMEX (ACCIVAL) is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CITIGROUP GLOBAL MARKETS (PROPRIETARY) LIMITED is under common control with the firm.






Firm Operations


No

Yes

SOUTH AFRICA

Yes

07/02/2001

FIRST FLOOR, GROSVENOR CORNER195 JAN SMUTS AVENUEROSEBANK 2196, JOHANNESBURG, SOUTH AFRICA

CITIGROUP GLOBAL MARKETS (PROPRIETARY) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

DOMINICAN REPUBLIC

Yes

10/08/1998

JOHN F. KENNEDY BOULEVARD NO. 1SANTO DOMINGO, DOMINICAN REPUBLIC N/A

CITINVERSIONES DE TITULOS Y VALORES (PUESTO DE BOLSA) S.A. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

10/03/2007

11 EWALL STREETMT. PLEASANT, SC 29464

103768

CITI ORDER ROUTING AND EXECUTION, LLC is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:






Firm Operations


No

CITIGROUP GLOBAL MARKETS INC. ("CGMI") IS A WHOLLY-OWNED DIRECTSUBSIDIARY OF CITIGROUP FINANCIAL PRODUCTS INC. ("CFPI"), AWHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP GLOBAL MARKETSHOLDINGS INC. ("CGMHI"). CGMHI IS A WHOLLY-OWNED DIRECTSUBSIDIARY OF CITIGROUP INC. AUTOMATED TRADING DESK FINANCIALSERVICES, LLC ("ATDFS") IS INDIRECTLY OWNED BY CITIGROUP INC.BOTH THE APPLICANT AND ATDFS ARE INDIRECTLY OWNED BY CITIGROUPINC.

Description:


No

Yes

No

12/10/2004

130 CHESHIRE LANESUITE 102MINNETONKA, MN 55305

133084

CITIGROUP DERIVATIVES MARKETS INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

Yes

RUSSIA

Yes

10/08/1998

8-10 GASHEKA STREETMOSCOW, RUSSIA N/A

ZAO CITIGROUP GLOBAL MARKETS is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations

Organization Affiliates (continued)THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMONCONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

Description:

Yes

Yes

SINGAPORE

Yes

10/08/1998

1 TEMESEK AVENUESINGAPORE, SINGAPORE 13192

CITIGROUP GLOBAL MARKETS SINGAPORE PTE. LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

TAIWAN

Yes

10/08/1998

1F NO. 54-3 MING SHENG EASTTAIPEI, TAIWAN N/A

CITIBANK SECURITIES (TAIWAN) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

HONG KONG

Yes

10/08/1998

CITIGROUP CENTRE - CITIBANK "K" TOWER, 50TH FLOOR3 GARDEN ROADHONG KONG, HONG KONG N/A

CITIGROUP GLOBAL MARKETS ASIA LIMITED is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No

Yes


Description:



No

Yes

CANADA

Yes

10/08/1998

181 BAY STREETBCE PLACETORONTO, CANADA M5J 2T3

CITIGROUP GLOBAL MARKETS CANADA INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

AUSTRALIA

Yes

10/08/1998

LEVEL 16, GROSVENOR PLACE225 GEORGE STREETSYDNEY, NSW, AUSTRALIA 2000

CITIGROUP GLOBAL MARKETS AUSTRALIA PTY LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

9TH FLOOR, WAISIN FINANCIAL BUILDING, NO. 117MING SHENG EAST ROAD, SECTION 3TAIPEI, TAIWAN 90646

CITIGROUP GLOBAL MARKETS TAIWAN LIMITED is under common control with the firm.

Business Address:






Firm Operations


No

No

TAIWAN

Yes

10/08/1998


Description:



Country:

Foreign Entity:

Effective Date:

No

Yes

INDONESIA

Yes

10/08/1998

LANDMARK CENTRE, TOWER A6TH FLOORJ1 JENDRAL SUDIRMAN NO. 1 12910, JAKARTA 12910

P.T. CITIGROUP SECURITIES INDONESIA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

JAPAN

Yes

10/08/1998

AKASAKA PARK BUILDING2-20 AKASAKA 5-CHOMEMINATO-KU, TOKYO, JAPAN 107-6122

CITIGROUP GLOBAL MARKETS JAPAN INC. is under common control with the firm.

THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMONCONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER. NAMECHANGE FROM NIKKO CITIGROUP LIMITED.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations

Organization Affiliates (continued)THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMONCONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER. NAMECHANGE FROM NIKKO CITIGROUP LIMITED.

Description:

No

Yes

BAHAMAS

Yes

10/08/1998

CITIBANK BUILDINGTHOMPSON BLVD. & OAKES FIELDNASSAU, BAHAMAS N/A

LATIN AMERICAN INVESTMENT BANK BAHAMAS LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

SOUTH KOREA

Yes

10/08/1998

DONG-AH LIFE INSURANCE BUILDING33, DA-DONG, CHUNG-KUSEOUL, KOREA 100-180

CITIGROUP GLOBAL MARKETS KOREA SECURITIES LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

10/27/1987

CARRERA 9 A NO. 99-02PISO 2BOGOTA, COLOMBIA N/A

CITIVALORES S.A. COMISIONISTA DE BOLSA is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No

Yes

COLOMBIA

Yes


Description:



Country:

Foreign Entity:

No

Yes

PANAMA

Yes

08/01/1990

VIA ESPANA 124PANAMA CITY, PANAMA N/A

CITIVALORES S.A. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

ARGENTINA

Yes

05/16/1994

BARTOLOME MITRE 5305TH FLOORBUENOS AIRES, ARGENTINA N/A

CITICORP VALORES S.A. SOCIEDAD DE BOLSA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

AVENIDA CAMINO REAL 456TORRE REAL, PISO 5 OF 503SAN ISIDRO, LIMA, PERU N/A

CITICORP PERU S.A. SOCIEDAD AGENTE DE BOLSA is under common control with the firm.

Business Address:






Firm Operations


No

Yes

PERU

Yes

04/10/1986

AVENIDA CAMINO REAL 456TORRE REAL, PISO 5 OF 503SAN ISIDRO, LIMA, PERU N/A


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

TRINIDAD & TOBAGO

Yes

01/23/1987

74 INDEPENDENCE SQUAREPORT OF SPAIN, TRINIDAD & TOBAGO N/A

CITICORP MERCHANT BANK LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

GUATEMALA

Yes

08/17/1998

AVENIDA REFORMA 15-45ZONA 10GUATEMALA CITY, GUATEMALA N/A

CITINVERSIONES, S.A. is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No


Description:


Yes

Yes

BRAZIL

Yes

04/30/1984

AVENIDA PAULISTA 1111SAO PAULO, BRAZIL 01311

CITIGROUP GLOBAL MARKETS BRASIL CCTVM SA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

IVORY COAST

Yes

12/03/1997

28 AVENUE DELA FOSSEABIDJAN, IVORY COAST 01

CITICORP SECURITIES WEST AFRICA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

04/06/1987

AYALA AVENUEMAKATI, PHILIPPINES M/A

CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, INC. is under commoncontrol with the firm.

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No

Yes

PHILIPPINES

Yes


Description:



Country:

Foreign Entity:

No

Yes

SINGAPORE

Yes

04/30/1984

5 SHENTON WAYUIC BUILDINGSINGAPORE, SINGAPORE 068808

CITICORP INVESTMENT BANK (SINGAPORE) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

HONG KONG

Yes

04/30/1984

CITIBANK PLAZA3 GARDEN ROAD, 48TH FLOORVICTORIA, HONG KONG N/A

CITICORP INTERNATIONAL LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


Yes

Yes

PHILIPPINES

Yes

08/30/1995

CITIBANK TOWER8741 PASEO DE ROXASMAKATI, PHILIPPINES N/A

CITICORP CAPITAL PHILIPPINES, INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

ARGENTINA

Yes

04/30/1984

BARTOLOME MITRE 502BUENOS AIRES, ARGENTINA 1036

CITICORP CAPITAL MARKETS SOCIEDAD ANONIMA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

URUGUAY

Yes

05/30/1990

MISIONES 1374MONTEVIDEO, URUGUAY N/A

CITICORP ADMINISTRADORA DE INVERSIONES S.A. is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


Yes


Description:


No

Yes

POLAND

Yes

10/08/1998

U.I. SENATORSKA 12WARSAW, POLAND 00 923

DOM MAKLERSKI BANKU HANDLOWEGO S.A. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

VENEZUELA

Yes

06/26/1987

CARMELITAS A ALTAGRACIA 25-27CARACAS, VENEZUELA 1010

CITIBANK MERCADO DE CAPITALES, CITIMERCA CASA DE BOLSA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

ENGLAND

Yes

04/30/1984

335 STRANDLONDON, ENGLAND WC2R 1HB

CITIBANK INTERNATIONAL PLC is under common control with the firm.

Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


Yes

No

ENGLAND


Description:



Country:

Yes

No

BRAZIL

Yes

04/30/1984

AVENIDA PAULISTA2ND FLOORSAO PALO, BRAZIL 1311

CITIBANK DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS S.A. is under common control with thefirm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

Yes

SWITZERLAND

Yes

04/30/1984

BAHNHOFSTRASSE 63ZURICH, SWITZERLAND CH-8022

CITIBANK (SWITZERLAND) is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

AVENIDA PAULISTA,111SAO PAULO, BRAZIL 01311

BANCO CITIBANK S.A. is under common control with the firm.

Business Address:37©2018 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC.





Firm Operations


Yes

No

BRAZIL

Yes

04/30/1984

AVENIDA PAULISTA,111SAO PAULO, BRAZIL 01311


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

GERMANY

Yes

10/08/1998

FRANKFURTER WELLEREUTERWEG 16FRANKFURT, GERMANY 60323

CITIGROUP GLOBAL MARKETS DEUTSCHLAND AG is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

ENGLAND

Yes

11/28/1997

CANADA SQUARECANARY WHARFLONDON, ENGLAND E14 5LB

CITIGROUP GLOBAL MARKETS LIMITED is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No


Description:


No

Yes

No

10/08/1998

273 SCOTIA PLAZA, PONCE DE LEON AVENUEHATO REY, PR 00918

17053

CITI INTERNATIONAL FINANCIAL SERVICES LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

Yes

No

10/08/1998

390 - 388 GREENWICH STREETNEW YORK, NY 10013

7059

CITIGROUP GLOBAL MARKETS INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

This firm is directly or indirectly, controlled by the following:

· bank holding company






Firm Operations


· national bank· state member bank of the Federal Reserve System· state non-member bank· savings bank or association· credit union· or foreign bank

Effective Date:

Business Address:

Description: CITICORP SECURITIES SERVICES INC. IS A WHOLLY-OWNED DIRECTSUBSIDIARY OF CITIGROUP FINANCIAL PRODUCTS INC. ("CFPI"), AWHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP GLOBAL MARKETSHOLDINGS INC. ("CGMHI"). CGMHI IS A WHOLLY-OWNED DIRECTSUBSIDIARY OF CITIGROUP INC. THE AFFILIATED ENTITY AND THEAPPLICANT ARE UNDER COMMON CONTROL OF CITIGROUP INC.

CITIBANK, N.A. is a National Bank and controls the firm.

10/08/1998

399 PARK AVENUE.NEW YORK, NY 10043

Effective Date:

Business Address:

Description: CITICORP SECURITIES SERVICES INC. IS A WHOLLY-OWNED DIRECTSUBSIDIARY OF CITIGROUP FINANCIAL PRODUCTS INC. ("CFPI"), AWHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP GLOBAL MARKETSHOLDINGS INC. ("CGMHI"). CGMHI IS A WHOLLY-OWNED DIRECTSUBSIDIARY OF CITIGROUP INC.

CITIGROUP INC. is a Bank Holding Company and controls the firm.

10/08/1998

153 EAST 53RD STREETNEW YORK, NY 10043






Disclosure Events

All firms registered to sell securities or provide investment advice are required to disclose regulatory actions, criminal orcivil judicial proceedings, and certain financial matters in which the firm or one of its control affiliates has been involved.For your convenience, below is a matrix of the number and status of disclosure events involving this brokerage firm orone of its control affiliates. Further information regarding these events can be found in the subsequent pages of thisreport.

Final On AppealPending

Regulatory Event 0 2 0






Disclosure Event Details

What you should know about reported disclosure events:

1. BrokerCheck provides details for any disclosure event that was reported in CRD. It also includessummary information regarding FINRA arbitration awards in cases where the brokerage firm wasnamed as a respondent.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a brokerage firm is required to disclose a

particular criminal event.3. Disclosure events in BrokerCheck reports come from different sources:

o Disclosure events for this brokerage firm were reported by the firm and/or regulators. When the firmand a regulator report information for the same event, both versions of the event will appear in theBrokerCheck report. The different versions will be separated by a solid line with the reporting sourcelabeled.

4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final.

§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter,

or (2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

§ A "settled" matter generally involves an agreement by the parties to resolve the matter.Please note that firms may choose to settle customer disputes or regulatory matters forbusiness or other reasons.

§ A "resolved" matter usually involves no payment to the customer and no finding ofwrongdoing on the part of the individual broker. Such matters generally involve customerdisputes.

5. You may wish to contact the brokerage firm to obtain further information regarding any of thedisclosure events contained in this BrokerCheck report.

Regulatory - Final

This type of disclosure event involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulator such as the U.S. Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of the authority of a brokerage firm or its control affiliate to act as an attorney, accountant or federalcontractor.

Disclosure 1 of 2

Reporting Source: Regulator

Allegations: RECORDS OF THE CRD REFLECT THAT AS OF 12/25/99, RESPONDENT HADNO AGENT REGISTERED IN MARYLAND IN VIOLATION OF THE MD.SECURITIES ACT.

Current Status: Final






Initiated By: MARYLAND DIVISION OF SECURITIES

Principal Sanction(s)/ReliefSought:

Revocation

Other Sanction(s)/ReliefSought:

Date Initiated: 03/02/2000

Docket/Case Number: 2000-0047

URL for Regulatory Action:

Principal Product Type: No Product

Other Product Type(s):

Allegations: RECORDS OF THE CRD REFLECT THAT AS OF 12/25/99, RESPONDENT HADNO AGENT REGISTERED IN MARYLAND IN VIOLATION OF THE MD.SECURITIES ACT.

Resolution Date: 03/02/2000

Resolution:

Other Sanctions Ordered:

Sanction Details: ON 1/5/00, THE SECURITIES COMMISSIONER ISSUED AN ORDER TO SHOWCAUSE AND SUMMARY SUSPENSION AGAINST RESPONDENT FOR FAILURETO MAINTAIN A REGISTERED AGENT IN MD. NO RESPONSE WASRECEIVED FROM THE ORDERS AND THE BROKER-DEALER REGISTRATIONIS REVOKED.

Sanctions Ordered: Revocation/Expulsion/Denial

Order

iReporting Source: Firm

Initiated By: STATE OF MARYLAND DIVISION OF SECURITIES


Suspension


Docket/Case Number: FILE NO. 2000-0047

Principal Product Type: Other

Other Product Type(s): SECURITIES BORROWING AND LENDING

Allegations: FAILURE TO HAVE AGENT REGISTERED IN THE STATE OF MARYLAND








Suspension



Resolution:


Sanction Details: VACATED UPON SUBMISSION OF FORM OF UNDERTAKING AND $1,500.00ADMINISTRATIVE FEE.

Firm Statement CITICORP SECURITIES SERVICES INC. ("CSSI") PROVIDED UNDERTAKINGTHAT NO TRANSACTIONS HAVE BEEN EFFECTED IN MARYLAND OR WITHMARYLAND RESIDENTS SINCE IT HAD NO AGENTS REGISTERED IN THESTATE. CSSI AGREED TO COMPLY WITH THE MARYLAND SECURITIES ACTAND TO REFRAIN FROM TRANSACTING BUSINESS AS A BROKER-DEALERUNTIL SUCH TIME AS AN AGENT IS DULY REGISTERED WITH THEMARYLAND DIVISION OF SECURITIES.

Sanctions Ordered: Monetary/Fine $1,500.00Revocation/Expulsion/Denial

Order

Disclosure 2 of 2

i

Reporting Source: Regulator

Initiated By: VERMONT SECURITIES DIVISION




Docket/Case Number: 94-072-S

URL for Regulatory Action:

Principal Product Type:


Allegations: SURETY BOND LAPSE VIOLATION OF 9 VSA SECTION4216


Resolution: Consent44©2018 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC.






Resolution:


Sanction Details: RESPONDENT ENTERED INTO A CONSENT ORDER WHEREINIT NEITHER ADMITTED NOR DENIED THE DIVISION'S ALLEGATIONS.RESPONDENT AGREED TO TENDER A $250 ADMINISTRATIVE PENALTY AND$250 IN COSTS. THE COMMISSIONER AGREED THAT THE ORDER WOULDNOTTRIGGER STATUTORY DISQUALIFICATIONS

Regulator Statement CONTACT: SECURITIES DIVISION 802-828-3420

Sanctions Ordered: Monetary/Fine $250.00

Consent

iReporting Source: Firm

Initiated By: STATE OF VERMONT DEPARTMENT OF BANKING, INSURANCE &SECURITIES


Civil and Administrative Penalt(ies) /Fine(s)



Docket/Case Number: DOCKET NO. 94-072-S

Principal Product Type: No Product


Allegations: ALLEGATION THAT PREDECESSOR FIRM NEWBRIDGE SECURITIES INC.FAILED TO MAINTAIN A CONTINUOUS SURETY BOND FOR THE USE ANDBENEFIT OF THE STATE OF VERMONT AND ITS RESIDENTS IN VIOLATIONOF 9 V.S.A. SECTION 4216 OF THE SECURITIES ACT.



Resolution:


Sanction Details: ADMINISTRATIVE PENALTY OF $250.00 PLUS SUM OF $250.00 TO DEFRAYADMINISTRATIVE COSTS INCURRED DUE TO THE INVESTIGATION WASPAID BY PREDECESSOR FIRM ON OR AQBOUT 10/20/1994.

Sanctions Ordered: Monetary/Fine $500.00

Order






Sanction Details: ADMINISTRATIVE PENALTY OF $250.00 PLUS SUM OF $250.00 TO DEFRAYADMINISTRATIVE COSTS INCURRED DUE TO THE INVESTIGATION WASPAID BY PREDECESSOR FIRM ON OR AQBOUT 10/20/1994.

Firm Statement WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSORFIRM NEWBRIDGE SECURITIES INC. AGREED TO ENTER INTO THECONSENT ORDER IN FULL SETTLEMENT, SATISFACTION AND DISCHARGEOF THIS MATTER.






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