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Mark Charles Jaffe

Citigroup Global Markets Inc.

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About Mark Charles Jaffe

Mark Charles Jaffe has been a registered investment advisor since 1993. Mark is currently employed by Citigroup Global Markets Inc. in Bronx, New York. Mark has worked in the financial services industry since 1989. Mark has also been registered with Citigroup Investment Services and W.J. Nolan & Company, Inc.

Firm Information

Mark Jaffe 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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Mark Jaffe’s Registration & Firm History

NY

08/17/2021 - Present

Citigroup Global Markets Inc. (BRONX NY)

NY

04/25/1994 - 05/29/2007

CITICORP INVESTMENT SERVICES (BRONX NY)

NY

05/03/1993 - 04/11/1994

W.J. NOLAN & COMPANY, INC. (NEW YORK NY)

CA

12/20/1988 - 12/31/1992

FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)

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Licenses & Designations

IA

Issued 12/05/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/08/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/10/1997

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/1988

Series 7 - General Securities 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 is public disclosure for Mark Charles Jaffe. Review regulatory record here.
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