DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Christopher Rose

Citigroup Global Markets Inc.BD affiliatedMiami, Fl dual registrantIAPD 2168878

Feed of 09/15/2026

Also filed as Christopher Rose

At current firm

1 y

since Mar 12, 2025

In the industry

26 y

since Sep 27, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Citigroup Global Markets Inc. BD affiliated current
since Mar 12, 2025 · West Palm Beach, Fl
Esi Financial Advisors independent RIA
Sep 20, 2024 to Mar 3, 2025 · Tamarac, Fl
Pruco Securities, LLC no RAUM
May 10, 2024 to Sep 23, 2024 · Miami, Fl
Neil Jesani Wealth Management independent RIA
Apr 14, 2023 to Aug 8, 2023 · Sunrise, Fl
LPL Financial LLC BD affiliated
Jul 5, 2011 to Dec 31, 2012 · Glens Falls, Ny
Uvest Financial Services Group, Inc. unclassified
Apr 21, 2011 to Jul 5, 2011 · Glens Falls, Ny
Goldman Sachs Wealth Services, L.P. BD affiliated
Jan 1, 2002 to Jan 28, 2005 · Clifton Park, Ny

Moves

a registration end followed by a registration begin elsewhere

Esi Financial Advisors to Citigroup Global Markets Inc.
left Mar 3, 2025, registered Mar 12, 2025 (9 days) · RIA to affiliated broker-dealer or bank
Pruco Securities, LLC to Esi Financial Advisors
left Sep 23, 2024, registered Sep 20, 2024 (-3 days) · Affiliated broker-dealer or bank to independent RIA
Neil Jesani Wealth Management to Pruco Securities, LLC
left Aug 8, 2023, registered May 10, 2024 (276 days) · RIA to affiliated broker-dealer or bank
LPL Financial LLC to Neil Jesani Wealth Management
left Dec 31, 2012, registered Apr 14, 2023 (3756 days) · Other
Uvest Financial Services Group, Inc. to LPL Financial LLC
left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
Goldman Sachs Wealth Services, L.P. to Uvest Financial Services Group, Inc.
left Jan 28, 2005, registered Apr 21, 2011 (2274 days) · Other

Signals

Christopher Rose left Esi Financial Advisors for Citigroup Global Markets Inc. (registered 2025-03-12)
Mar 3, 2025 · Advisor changed firm · fact
Christopher Rose left Pruco Securities, Llc for Esi Financial Advisors (registered 2024-09-20)
Sep 23, 2024 · Advisor changed firm · fact
Christopher Rose left Neil Jesani Wealth Management for Pruco Securities, Llc (registered 2024-05-10)
Aug 8, 2023 · Advisor changed firm · fact

Transition signals

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.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address