DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

AROLDO BALBINO

Advisor at CITIGROUP GLOBAL MARKETS INC.

New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1c579904-5ff5-cdc0-eb3a-799148f2852a

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 8, 2007 to Sep 18, 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: Oct 21, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 21, 2006
First registration: Jan 8, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 4868172

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	Aug 26, 2021	n/a	yes	New York, NY\|New York, NY	Current employment
UCAP AMERICAS	Mixed wealth	Oct 8, 2020	Jan 22, 2021	no	MIAMI, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 17, 2014	Oct 1, 2020	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 8, 2007	Dec 9, 2013	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|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
UCAP AMERICAS	CITIGROUP GLOBAL MARKETS INC.	Jan 22, 2021	Aug 26, 2021	216	Firm change	RIA to ibd
UBS FINANCIAL SERVICES INC.	UCAP AMERICAS	Oct 1, 2020	Oct 8, 2020	7	Firm change	Wirehouse to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Dec 9, 2013	Jan 17, 2014	39	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Aug 26, 2021 to presentfactForm ADV
→ UCAP AMERICASRegistered adviserregistration: previous registration
Oct 8, 2020 to Jan 22, 2021factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 17, 2014 to Oct 1, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 8, 2007 to Dec 9, 2013factForm ADV

Dated events

No dated event names this entity yet.