Enrique Ulloa
Enrique Ulloa is a registered investment advisor at Citigroup Global Markets INC., based in Whittier, CA, with 26 years of industry experience. Enrique operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
CWM Retail, Sales, 15410 Whittier Blvd., Whittier, CA, 90603
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Regulatory History (3)
Financial
January 2024Customer Dispute
August 2007Customer Dispute
December 2005Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Wm Financial Services, INC.
Wm Financial Services, INC.Broker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Primevest Financial Services, INC.Broker
Primevest Financial Services, INC.
National Planning CorporationBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.