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.

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

Nov 1, 2007earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66

First exam

Apr 11, 2008

First registration

Apr 16, 2008

Dual registered

yes, broker-dealer

Other names

HEATHER M ROARK

IAPD individual key

5476512

• Occurred

  Jun 13, 2022
  Advisor changed firm

  Heather Roark left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Citigroup Global Markets Inc. (registered 2022-06-16)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1702b12f-1601-5922-321b-fa5769d758d7

First observed

Apr 16, 2008

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.