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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

NEETUL K SHARMA

Advisor at CITIGROUP GLOBAL MARKETS INC.

NEW YORK, NY | TAMPA, FL

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Search this name across graphsid dfx:ria:ca3c0cef-44f5-8fcb-98da-8a9321d92287

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2011 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: Feb 4, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S65|S63
First exam: Feb 4, 2011
First registration: Feb 5, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5858452

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 2, 2021	n/a	yes	NEW YORK, NY\|TAMPA, FL	Current employment
CAPITAL ONE ADVISORS, LLC	Former SEC adviser	Nov 7, 2016	Jul 23, 2019	no	McLean, VA\|MCLEAN, VA	Previous registration
SPIRE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Jul 27, 2015	Oct 17, 2016	no	MCLEAN, VA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Feb 5, 2011	Feb 24, 2011	no	FALLS CHURCH, VA	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
CAPITAL ONE ADVISORS, LLC	CITIGROUP GLOBAL MARKETS INC.	Jul 23, 2019	Jun 2, 2021	680	Firm change after gap	Other
SPIRE WEALTH MANAGEMENT, LLC	CAPITAL ONE ADVISORS, LLC	Oct 17, 2016	Nov 7, 2016	21	Firm change	Other
EQUITABLE ADVISORS, LLC	SPIRE WEALTH MANAGEMENT, LLC	Feb 24, 2011	Jul 27, 2015	1,614	Firm change after gap	Other

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Jun 2, 2021 to presentfactForm ADV
→ CAPITAL ONE ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 7, 2016 to Jul 23, 2019factForm ADV
→ SPIRE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 27, 2015 to Oct 17, 2016factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 5, 2011 to Feb 24, 2011factForm ADV

Dated events

No dated event names this entity yet.