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Andrew Pfaff

Citigroup Global Markets Inc.

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About Andrew Pfaff

Andrew Pfaff is a financial professional with over 10 years of experience in the industry. Andrew is currently a registered representative with Citigroup Global Markets Inc., where they are a Compliance Officer. Prior to that, Andrew held positions at J.P. Morgan Securities LLC, Goldman, Sachs & Co. and Barclays Capital Inc.. Andrew is a Series 14 licensed professional, having passed the Compliance Officer Examination.

Firm Information

Andrew Pfaff is currently registered with Citigroup Global Markets Inc.. Citigroup Global Markets Inc. is a corporation formed in October 1998, headquartered in New York, NY. The firm provides a wide range of investment advisory services including financial planning, asset allocation advice, pension consulting, publication of periodicals, selection of other advisors, and portfolio management for individuals, businesses, and other clients. With over 10,000 employees, including licensed agents, investment advisor representatives, and registered representatives, Citigroup Global Markets Inc. manages over $40 billion in assets for clients across various client types, including individuals, corporations, charitable organizations, and pension and profit-sharing plans. The firm is registered with the SEC and in all 50 states.
Citigroup Global Markets Inc.

388 GREENWICH STREET

NEW YORK, NY 10013

$40.52B

Assets Under Management

11,754

Total Clients

3,637

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation advice

Asset allocation advice

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Andrew Pfaff’s Registration & Firm History

NY

10/09/2020 - Present

Citigroup Global Markets Inc. (NEW YORK NY)

NY

07/19/2013 - 09/21/2020

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

07/11/2011 - 06/24/2013

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

04/19/2010 - 07/19/2011

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/16/2010

Series 14 - Compliance Officer Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Andrew Pfaff.
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