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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

MARK JOSEPH IMMEL

Advisor at CITIGROUP GLOBAL MARKETS INC.

Orinda, CA | SAN FRANCISCO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 11, 2001 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: May 3, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 3, 1994
First registration: Dec 11, 2001
Dual registered: yes, broker-dealer
Other names: MARK IMMEL
IAPD individual key: 2129423

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	Jun 15, 2010	n/a	yes	SAN FRANCISCO, CA\|Orinda, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Jun 2, 2010	no	WALNUT CREEK, CA\|WALNUT CREEK, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 18, 2003	Oct 23, 2009	no	WALNUT CREEK, CA\|WALNUT CREEK, CA	Previous registration
BANC OF AMERICA SECURITIES LLC	n/a	Dec 11, 2001	Aug 20, 2003	no	SAN FRANCISCO, CA	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.	Jun 2, 2010	Jun 15, 2010	13	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
BANC OF AMERICA SECURITIES LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Aug 20, 2003	Aug 18, 2003	-2	Bulk transfer	Other

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Jun 15, 2010 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Jun 2, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 18, 2003 to Oct 23, 2009factForm ADV
→ BANC OF AMERICA SECURITIES LLCRegistered adviserregistration: previous registration
Dec 11, 2001 to Aug 20, 2003factForm ADV

Dated events

No dated event names this entity yet.