RIA Intelligence

• Citigroup Global Markets Inc. BD affiliated current
  since Apr 24, 2025 · Burbank, Ca
• Cetera Investment Advisers LLC BD affiliated
  Jul 26, 2019 to Apr 22, 2025 · Los Angeles, Ca
• Osaic Institutions, Inc. BD affiliated
  Aug 7, 2017 to Jul 23, 2019 · Manhattan Beach, Ca
• Citigroup Global Markets Inc. BD affiliated
  Jul 11, 2017 to Aug 17, 2017 · Santa Monica, Ca
• Osaic Institutions, Inc. BD affiliated
  Aug 17, 2016 to Jul 12, 2017 · Santa Monica, Ca
• Santander Securities BD affiliated
  Jan 21, 2016 to Jul 7, 2016 · Millburn, Nj
• Invest Financial Corporation former
  Oct 22, 2015 to Dec 28, 2015 · Livingston, Nj
• Essex National Securities, Inc. former
  Sep 6, 2011 to Oct 15, 2015 · Napa, Ca
• LPL Financial LLC BD affiliated
  May 27, 2008 to Apr 19, 2011 · Cliffside Park, Nj
• Ifmg Securities, Inc. unclassified
  Aug 25, 2004 to May 27, 2008 · Cliffside Park, Nj
• Citicorp Investment Services unclassified
  Jul 19, 2004 to Aug 5, 2004 · Englewood, Nj
• Quick & Reilly, Inc. unclassified
  Nov 21, 2002 to Jun 17, 2004 · Hackensack, Nj

• Cetera Investment Advisers LLC to Citigroup Global Markets Inc.
  left Apr 22, 2025, registered Apr 24, 2025 (2 days) · Affiliated broker-dealer or bank to another
• Osaic Institutions, Inc. to Cetera Investment Advisers LLC
  left Jul 23, 2019, registered Jul 26, 2019 (3 days) · Affiliated broker-dealer or bank to another
• Citigroup Global Markets Inc. to Osaic Institutions, Inc.
  left Aug 17, 2017, registered Aug 7, 2017 (-10 days) · Other
• Osaic Institutions, Inc. to Citigroup Global Markets Inc.
  left Jul 12, 2017, registered Jul 11, 2017 (-1 days) · Other
• Santander Securities to Osaic Institutions, Inc.
  left Jul 7, 2016, registered Aug 17, 2016 (41 days) · Other
• Invest Financial Corporation to Santander Securities
  left Dec 28, 2015, registered Jan 21, 2016 (24 days) · Other · moved with a team
• Essex National Securities, Inc. to Invest Financial Corporation
  left Oct 15, 2015, registered Oct 22, 2015 (7 days) · Other · moved with a team
• LPL Financial LLC to Essex National Securities, Inc.
  left Apr 19, 2011, registered Sep 6, 2011 (140 days) · Other
• Ifmg Securities, Inc. to LPL Financial LLC
  left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
• Citicorp Investment Services to Ifmg Securities, Inc.
  left Aug 5, 2004, registered Aug 25, 2004 (20 days) · Other
• Quick & Reilly, Inc. to Citicorp Investment Services
  left Jun 17, 2004, registered Jul 19, 2004 (32 days) · Other

• Thomas Kim left Cetera Investment Advisers Llc for Citigroup Global Markets Inc. (registered 2025-04-24)
  Apr 22, 2025 · Advisor changed firm · fact

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Broker-dealer affiliated wealth managerderived

Years in industry

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address