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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

TUO SHENG MEI

Advisor at CITIGROUP GLOBAL MARKETS INC.

New York, NY

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Search this name across graphsid dfx:ria:41ac47cb-81a7-b4e8-ca26-77287f4048b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 11, 2010 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 20, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Aug 20, 2003
First registration: Jun 11, 2010
Dual registered: yes, broker-dealer
Other names: TUO MEI|HUGO MEI
IAPD individual key: 4677835

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 17, 2021	n/a	yes	New York, NY\|New York, NY	Current employment
UNFCU ADVISORS LLC	Other adviser	Aug 2, 2018	Dec 10, 2019	no	New York, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 26, 2018	May 1, 2018	no	New York, NY	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jun 2, 2016	Dec 22, 2017	no	NEW YORK, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Feb 21, 2012	May 26, 2016	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 11, 2010	Feb 10, 2012	no	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
UNFCU ADVISORS LLC	CITIGROUP GLOBAL MARKETS INC.	Dec 10, 2019	Aug 17, 2021	616	Firm change after gap	RIA to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	UNFCU ADVISORS LLC	May 1, 2018	Aug 2, 2018	93	Firm change	Other
ADVICE AND PLANNING SERVICES	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Dec 22, 2017	Jan 26, 2018	35	Firm change	Other
HSBC SECURITIES (USA) INC.	ADVICE AND PLANNING SERVICES	May 26, 2016	Jun 2, 2016	7	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	HSBC SECURITIES (USA) INC.	Feb 10, 2012	Feb 21, 2012	11	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:136572:NY:2018-05-01	May 1, 2018	Aug 2, 2018	NEW YORK, NY	Firm change

Relationships

Registered with (6)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Aug 17, 2021 to presentfactForm ADV
→ UNFCU ADVISORS LLCRegistered adviserregistration: previous registration
Aug 2, 2018 to Dec 10, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 26, 2018 to May 1, 2018factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jun 2, 2016 to Dec 22, 2017factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Feb 21, 2012 to May 26, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 11, 2010 to Feb 10, 2012factForm ADV

Dated events

No dated event names this entity yet.