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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

LUCAS Joseph SAPIENZA

Advisor at CITIGROUP GLOBAL MARKETS INC.

BROOKLYN, NY | Fort Lee, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 9, 2019 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIGROUP GLOBAL MARKETS INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 5, 2019
First registration: Jul 9, 2019
Dual registered: yes, broker-dealer
Other names: LUCAS SAPIENZA
IAPD individual key: 6800659

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 1, 2026	n/a	yes	BROOKLYN, NY\|Fort Lee, NJ	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Apr 25, 2023	Feb 19, 2025	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 29, 2020	Mar 21, 2023	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Jul 9, 2019	Apr 7, 2020	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Feb 19, 2025	Sep 1, 2026	559	Firm change after gap	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Mar 21, 2023	Apr 25, 2023	35	Firm change	Wirehouse to ibd
NEUBERGER BERMAN BD LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 7, 2020	Apr 29, 2020	22	Firm change	Other

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Sep 1, 2026 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Apr 25, 2023 to Feb 19, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 29, 2020 to Mar 21, 2023factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Jul 9, 2019 to Apr 7, 2020factForm ADV

Dated events

Occurred
Feb 19, 2025
Advisor changed firm
Lucas Joseph Sapienza left Fidelity Personal And Workplace Advisors for Citigroup Global Markets Inc. (registered 2026-09-01)
Form ADVobserved 5 days ago
Occurred
Mar 21, 2023
Advisor changed firm
Lucas Joseph Sapienza left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Fidelity Personal And Workplace Advisors (registered 2023-04-25)
Form ADVobserved 5 days ago