Individual Firm
| Name | Position |
|---|---|
| CITIBANK (WEST) FSB | DIRECT OWNER |
| AVILA, STEVEN | ASSISTANT SECRETARY |
| BENNETT, DAVID, W | FIRST VICE PRESIDENT & RISK MANAGEMENT OFFICER |
| BERNOT, DEBORAH CHRISTINE (CRD#: 874079) | PRESIDENT (DIRECTOR) |
| BRENNAN, EDWARD MICHAEL (CRD#: 1191425) | FIRST VP |
| DANIELS, DONNA ROSS (CRD#: 2457651) | DIRECTOR |
| DIAMOND, KIMBERLEY SUE (CRD#:874757) | FIRST VP |
| DOYLE, CHRYSTINE HARRIET (CRD#: 835739) | FIRST VP |
| ELLER, JAMES ROBERT JR | SENIOR VP/CORPORATE SECRETARY |
| FRONTIERO, PETER STEVEN (CRD#:1086141) | SENIOR VICE PRESIDENT |
| GIANATASIO, PATRICIA LOUISE (CRD#:1136139) | VP |
| GODBEY, MARSHALL RAY | FIRST VICE PRESIDENT |
| HOAGLIN, MARK EDWARD (CRD#:2699114) | 1ST VP |
| JAMAL, MALIA LITTLE (CRD#:1681671) | 1ST VP |
| LANZNER, EDWARD HENRY (CRD#:1327170) | FIRST VICE PRESIDENT |
| LASALLE, JOHN FRANCIS (CRD#: 1044909) | SENIOR VP |
| MAGUIRE, WILLIAM JOHN JR (CRD#:2040885) | DIRECTOR |
| MOON, CAROLYN ELIZABETH (CRD#:1395727) | FIRST VP |
| PERRELLA, VICTOR ANTHONY JR | SENIOR VICE PRESIDENT |
| POOLE, ANNETTE SUE (CRD#: 2397264) | VICE PRESIDENT |
| RICE, PETER ANTHONY (CRD#: 1218517) | VP AND CHIEF FINANCIAL OFFICER |
| SANSOUCI, MICHA RENEE (CRD#: 2172834) | 1ST VP |
| SPRENGER, STUART ANDREW (CRD#:2142881) | 1ST VICE PRESIDENT |
| TRAVALE, SALVATORE SAM (CRD#: 1114661) | FIRST VP |
| TUCEI, RENEE N (CRD#: 2585150) | EXECUTIVE VP AND TREASURER |
| VALESTRINO, GARY STEVEN (CRD#: 1174325) | VP |
| WINCHEL, TANYA | VICE PRESIDENT |
The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.
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A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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