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

FRANK MICHAEL BARONE

Advisor at CITIGROUP GLOBAL MARKETS INC.

Greenwich, CT | EASTCHESTER, NY | Ossining, NY

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Search this name across graphsid dfx:ria:7fc350b3-36d8-23a8-130b-7f008dca7dfc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2007 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: Dec 22, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S66|S63
First exam: Dec 22, 2006
First registration: Jun 20, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5228990

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	Dec 4, 2012	n/a	yes	Ossining, NY\|Greenwich, CT\|Greenwich, CT\|EASTCHESTER, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 28, 2011	Nov 30, 2012	no	NEW YORK, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2008	Jun 30, 2011	no	NEW YORK, NY\|New York, NY\|Greenwich, CT	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Jun 20, 2007	Oct 1, 2008	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Nov 30, 2012	Dec 4, 2012	4	Firm change	Other
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 30, 2011	Jun 28, 2011	-2	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES INC.	J.P. MORGAN SECURITIES LLC	Oct 1, 2008	Oct 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Dec 4, 2012 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 28, 2011 to Nov 30, 2012factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2008 to Jun 30, 2011factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Jun 20, 2007 to Oct 1, 2008factForm ADV

Dated events

No dated event names this entity yet.