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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

CHRISTOPHER ROSE

Advisor at CITIGROUP GLOBAL MARKETS INC.

Miami, FL | Palm Beach Gardens, FL | West Palm Beach, FL

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Search this name across graphsid dfx:ria:3a8a873e-9437-8141-9d7b-e62f359b7d68

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Jan 1, 2002 to Sep 15, 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: Sep 27, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Sep 27, 1999
First registration: Jan 1, 2002
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER ROSE|CHRISTOPHER J ROSE|CHRIS ROSE|CHRISTOPHER JOHN ROSE
IAPD individual key: 2168878

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	Mar 12, 2025	n/a	yes	West Palm Beach, FL\|Miami, FL\|Palm Beach Gardens, FL\|West Palm Beach, FL	Current employment
ESI FINANCIAL ADVISORS	Independent wealth	Sep 20, 2024	Mar 3, 2025	no	TAMARAC, FL\|RED BANK, NJ\|TAMARAC, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	May 10, 2024	Sep 23, 2024	no	Miami, FL\|Tamarac, FL	Previous registration
NEIL JESANI WEALTH MANAGEMENT	Independent wealth	Apr 14, 2023	Aug 8, 2023	no	SUNRISE, FL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 5, 2011	Dec 31, 2012	no	GLENS FALLS, NY	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Apr 21, 2011	Jul 5, 2011	no	GLENS FALLS, NY\|GLENS FALLS, NY\|GLENS FALLS, NY	Previous registration
GOLDMAN SACHS WEALTH SERVICES, L.P.	Bd affiliated wealth	Jan 1, 2002	Jan 28, 2005	no	CLIFTON PARK, 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
ESI FINANCIAL ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Mar 3, 2025	Mar 12, 2025	9	Firm change	RIA to ibd
PRUCO SECURITIES, LLC	ESI FINANCIAL ADVISORS	Sep 23, 2024	Sep 20, 2024	-3	Firm change	Ibd to RIA
NEIL JESANI WEALTH MANAGEMENT	PRUCO SECURITIES, LLC	Aug 8, 2023	May 10, 2024	276	Firm change	RIA to ibd
LPL FINANCIAL LLC	NEIL JESANI WEALTH MANAGEMENT	Dec 31, 2012	Apr 14, 2023	3,756	Firm change after gap	Other
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Jul 5, 2011	Jul 5, 2011	0	Bulk transfer	Other
GOLDMAN SACHS WEALTH SERVICES, L.P.	UVEST FINANCIAL SERVICES GROUP, INC.	Jan 28, 2005	Apr 21, 2011	2,274	Firm change after gap	Other

Relationships

Registered with (7)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Mar 12, 2025 to presentfactForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Sep 20, 2024 to Mar 3, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
May 10, 2024 to Sep 23, 2024factForm ADV
→ NEIL JESANI WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Apr 14, 2023 to Aug 8, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 5, 2011 to Dec 31, 2012factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Apr 21, 2011 to Jul 5, 2011factForm ADV
→ GOLDMAN SACHS WEALTH SERVICES, L.P.Registered adviserregistration: previous registration
Jan 1, 2002 to Jan 28, 2005factForm ADV

Dated events

Occurred
Mar 3, 2025
Advisor changed firm
Christopher Rose left Esi Financial Advisors for Citigroup Global Markets Inc. (registered 2025-03-12)
Form ADVobserved 6 days ago
Occurred
Sep 23, 2024
Advisor changed firm
Christopher Rose left Pruco Securities, Llc for Esi Financial Advisors (registered 2024-09-20)
Form ADVobserved 6 days ago
Occurred
Aug 8, 2023
Advisor changed firm
Christopher Rose left Neil Jesani Wealth Management for Pruco Securities, Llc (registered 2024-05-10)
Form ADVobserved 6 days ago