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Frank Joseph Romano

Citigroup Global Markets Inc.

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About Frank Joseph Romano

Frank Romano has been a registered representative for over 20 years. Currently, Frank works as a registered representative at Citigroup Global Markets Inc. Frank has been with Citigroup Global Markets Inc. since 2015. Frank also holds a Series 63 license, and a Series 66 license.

Firm Information

Frank Romano 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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Frank Romano’s Registration & Firm History

NY

08/17/2021 - Present

Citigroup Global Markets Inc. (Armonk NY)

NY

01/02/2015 - 06/04/2015

CAPITAL ONE INVESTING, LLC (BRONX, NY)

NY

01/03/2005 - 01/02/2015

CAPITAL ONE INVESTMENT SERVICES LLC (MOUNT VERNON NY)

NY

01/02/2004 - 01/03/2005

GREENPOINT SECURITIES LLC (LAKE SUCCESS NY)

CA

04/05/2001 - 01/02/2004

ESSEX NATIONAL SECURITIES, INC. (NAPA CA)

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Licenses & Designations

BOTH

Issued 11/05/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/16/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/2002

Series 7 - General Securities Representative Examination

BC

Issued 04/03/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

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 Frank Joseph Romano.
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