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Melvin Tom

Citigroup Global Markets Inc.

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About Melvin Tom

Melvin Tom is an investment advisor representative with Citigroup Global Markets Inc. Melvin has been in the industry since 1991 and has experience with Citigroup Global Markets Inc., HSBC Securities (USA) Inc., BANC of AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., WM FINANCIAL SERVICES, INC., DIME SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, CHASE INVESTMENT SERVICES CORP., BHCM INC., GNA SECURITIES, INC., DOLLAR DRY DOCK INVESTMENT SERVICES CORP., GDM SECURITIES, INC., SHEARSON LEHMAN HUTTON INC., RANDOLPH BROWN SECURITIES CORPORATION, and THE STUART-JAMES COMPANY, INC.. Melvin has a Series 63, Series 65, Series 7 and Series 10 license and has completed the SIE exam. Melvin is currently registered in New York.

Firm Information

Melvin Tom 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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Melvin Tom’s Registration & Firm History

NY

09/27/2021 - Present

Citigroup Global Markets Inc. (HICKSVILLE NY)

NY

08/03/2016 - 11/04/2019

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

09/19/2013 - 08/04/2016

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

05/14/2007 - 09/19/2013

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

10/20/2004 - 05/01/2007

BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)

NY

09/18/2003 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

CA

05/01/2002 - 09/17/2003

WM FINANCIAL SERVICES, INC. (IRVINE CA)

NY

06/19/2000 - 05/01/2002

DIME SECURITIES, INC. (BROOKLYN NY)

NY

04/02/1998 - 11/11/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

IL

03/06/1995 - 04/15/1998

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

TX

02/01/1995 - 04/07/1995

BHCM INC. (HOUSTON TX)

VA

09/25/1992 - 02/01/1995

GNA SECURITIES, INC. (GLEN ALLEN VA)

NA

05/31/1991 - 09/21/1992

DOLLAR DRY DOCK INVESTMENT SERVICES CORP.

NA

09/18/1990 - 12/31/1990

GDM SECURITIES, INC.

NA

04/28/1988 - 10/31/1988

SHEARSON LEHMAN HUTTON INC.

NA

03/03/1988 - 04/26/1988

RANDOLPH BROWN SECURITIES CORPORATION

NA

01/21/1987 - 03/11/1988

THE STUART-JAMES COMPANY, INC.

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Licenses & Designations

IA

Issued 08/13/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/28/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/22/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/1987

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

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 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 Melvin Tom. Review regulatory record here.
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