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

MARC VINCENT LOPEZ

Advisor at CITIGROUP GLOBAL MARKETS INC.

New York, NY | Warwick, NY

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Search this name across graphsid dfx:ria:88505e0a-b281-b34d-01bb-5a69fa28a0ed

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 2, 2003 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 2, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 27, 2015
First registration: Sep 2, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4614427

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 24, 2022	n/a	yes	New York, NY\|Warwick, NY	Current employment
CITI PRIVATE ADVISORY, LLC	Former SEC adviser	Aug 24, 2022	Jun 30, 2010	no	New York, NY\|Warwick, NY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 30, 2015	Jul 13, 2022	no	MINNEAPOLIS, MN\|NEW YORK, NY\|NEW YORK, NY\|MINNEAPOLIS, MN\|TARPON SPRINGS, FL\|NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Sep 2, 2003	Aug 18, 2005	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
WELLS FARGO ADVISORS	CITI PRIVATE ADVISORY, LLC	Jul 13, 2022	Aug 24, 2022	42	Firm change	Other
CITI PRIVATE ADVISORY, LLC	CITIGROUP GLOBAL MARKETS INC.	Jun 30, 2010	Aug 24, 2022	4,438	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO ADVISORS	Aug 18, 2005	Mar 30, 2015	3,511	Firm change after gap	Other

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Aug 24, 2022 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 30, 2015 to Jul 13, 2022factForm ADV
→ CITI PRIVATE ADVISORY, LLCRegistered adviserregistration: previous registration
Aug 24, 2022 to Jun 30, 2010factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Sep 2, 2003 to Aug 18, 2005factForm ADV

Dated events

Occurred
Jul 13, 2022
Advisor changed firm
Marc Vincent Lopez left Wells Fargo Advisors for Citi Private Advisory, Llc (registered 2022-08-24)
Form ADVobserved 5 days ago