Goldman Sachs Wealth Services, L.P.
- Regulatory AUM
- $31.7B
- Discretionary
- $31.7B
- Clients
- 117,699
- Avg AUM / client
- $269K
- Accounts
- 36,184
- Employees
- 1,923
AUM over time
Annual snapshots from Form ADV filings · as of Jun 15, 2026
Asset allocation (SMA assets by investment type)
as of Jun 15, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 76,550 | $0 | — |
| High net worth individuals | 38,800 | $24.8B | 78.3% |
| Pension and profit sharing plans | 9 | $6.9M | 0.02% |
| Charitable organizations | 75 | $902M | 2.85% |
| Corporations and other businesses | 30 | $107M | 0.34% |
| Other | 2,235 | $5.9B | 18.5% |
People (1,092)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Restieri, Lawrence, Joseph | Chief Executive Officer, President | Feb 2018 (9y) | Less than 5% | |
| Luks, Shelley, M | Vice President, Treasurer | Jan 2021 (6y) | Less than 5% | |
| Jason Patrick Shepard | Vice President, Secretary | Jul 2021 (5y) | Less than 5% | |
| Kyle T Kinowski | Vice President, Assistant Secretary | Jul 2021 (5y) | Less than 5% | |
| Ryan, Diana, Elizabeth | Vice President, Chief Compliance Officer | Jun 2024 (2y) | Less than 5% | |
| Kevin Alan King | Registered representative | Mar 1995 (31y) | ||
| Jeffrey Victor Demaio | Registered representative | Dec 1997 (29y) | ||
| Rick Alan Lowe | Registered representative | Dec 1997 (29y) | ||
| Rachelle Fragnito Dufault | Registered representative | Feb 1998 (28y) | ||
| Richard Sean Barry | Registered representative | Feb 1998 (28y) | ||
| William Blake Hunnicutt | Registered representative | Feb 1998 (28y) | ||
| John Patrick Toohig | Registered representative | Jul 1998 (28y) | ||
| Heidi Gay Goetting | Registered representative | Feb 1999 (27y) | ||
| Michael Paul Cummins | Registered representative | Dec 1999 (27y) | ||
| Christine Louise Thornburg | Registered representative | May 2000 (26y) | ||
| Christopher Michael Blades | Registered representative | May 2000 (26y) | ||
| Darryl Bennett Richardson | Registered representative | May 2000 (26y) | ||
| Roger H Shaar | Registered representative | May 2000 (26y) | ||
| Michael Francis Lagoy | Registered representative | Jun 2000 (26y) | ||
| Ryan Michael Mulderig | Registered representative | Jun 2000 (26y) | ||
| Carl Wayne Cuff | Registered representative | Sep 2000 (26y) | ||
| Randy Dale Roe | Registered representative | Nov 2000 (26y) | ||
| John F Wetterau | Registered representative | Nov 2000 (26y) | ||
| Janice Jim | Registered representative | Dec 2000 (26y) | ||
| Joseph Chia Yen Liao | Registered representative | Mar 2001 (25y) | ||
| James Francis O'neill | Registered representative | Apr 2001 (25y) | ||
| Sean Thomas Koelbl | Registered representative | Apr 2001 (25y) | ||
| Richard L Schannen | Registered representative | Oct 2001 (25y) | ||
| Samuel Chacon | Registered representative | Jun 2002 (24y) | ||
| Graham Bryce Forrester | Registered representative | Jun 2002 (24y) | ||
| Michael Joseph Aguado | Registered representative | Jul 2002 (24y) | ||
| Jeffrey Varisco | Registered representative | Jul 2002 (24y) | ||
| Alim Sekip Ozbilge | Registered representative | Jul 2002 (24y) | ||
| Ariane Leigh Auster | Registered representative | Jul 2002 (24y) | ||
| David Ferdinand Kaiser | Registered representative | Jul 2002 (24y) | ||
| Eric Peter Degrandpre | Registered representative | Jul 2002 (24y) | ||
| Florence Marie Dessources | Registered representative | Jul 2002 (24y) | ||
| Linda Boney | Registered representative | Jul 2002 (24y) | ||
| Sandra Beth O'gorman | Registered representative | Jul 2002 (24y) | ||
| Thomas Patrick Cawley | Registered representative | Jul 2002 (24y) | ||
| Erick D Mccreight | Registered representative | Nov 2002 (24y) | ||
| Kendra Lashawn Mccartney | Registered representative | Dec 2002 (24y) | ||
| Adam J Fried | Registered representative | Jan 2003 (24y) | ||
| Christine Elizabeth Kapp | Registered representative | Jan 2004 (23y) | ||
| Christopher John Kern | Registered representative | Jan 2004 (23y) | ||
| Brian Joseph Mcfarland | Registered representative | Apr 2004 (22y) | ||
| Ryan John Davian | Registered representative | Nov 2004 (22y) | ||
| Joanne Liao Kuy | Registered representative | Feb 2005 (21y) | ||
| Michael Trong Thai | Registered representative | Feb 2005 (21y) | ||
| Sandra Paola Espino | Registered representative | Jun 2005 (21y) | ||
| Emmett F J Clancy | Registered representative | Jul 2005 (21y) | ||
| Scott Michael Solomon | Registered representative | Sep 2005 (21y) | ||
| Wade Alvin Catlin | Registered representative | Sep 2005 (21y) | ||
| Douglas D Devlin | Registered representative | Nov 2005 (21y) | ||
| Michael Andrew Sevchuk | Registered representative | Nov 2005 (21y) | ||
| Brian J Horner | Registered representative | Feb 2006 (20y) | ||
| Gregory Robert Meyer | Registered representative | Mar 2006 (20y) | ||
| Kyle Garrett Stokien | Registered representative | Mar 2006 (20y) | ||
| Scott D. Rosengren | Registered representative | Mar 2006 (20y) | ||
| Robert Franklin Bacon | Registered representative | Apr 2006 (20y) | ||
| Charles Thomas Carlin | Registered representative | Apr 2006 (20y) | ||
| Ellen Darcy Rich | Registered representative | Jun 2006 (20y) | ||
| Richard B Sugarman | Registered representative | Jun 2006 (20y) | ||
| Danielle Anne Thiel | Registered representative | Jul 2006 (20y) | ||
| Zachary Edward Prescott | Registered representative | Jul 2006 (20y) | ||
| Brian James Teague | Registered representative | Jul 2006 (20y) | ||
| David Paul Jernigan | Registered representative | Aug 2006 (20y) | ||
| Shane Donovan Schnitzius | Registered representative | Aug 2006 (20y) | ||
| Zachary Michael Barry | Registered representative | Oct 2006 (20y) | ||
| Thomas P Davidson | Registered representative | Oct 2006 (20y) | ||
| Mark Laquin | Registered representative | Jan 2007 (20y) | ||
| Patrick Neil Bouslog | Registered representative | Feb 2007 (19y) | ||
| Phillip John Giese | Registered representative | Feb 2007 (19y) | ||
| Helder D Samagaio | Registered representative | Mar 2007 (19y) | ||
| Gregory John Garvin | Registered representative | May 2007 (19y) | ||
| Shawn S Chando | Registered representative | Jun 2007 (19y) | ||
| Vincent Giliberti | Registered representative | Jun 2007 (19y) | ||
| Peter L Mancini | Registered representative | Aug 2007 (19y) | ||
| Finian Patrick Kennedy | Registered representative | Aug 2007 (19y) | ||
| Daniel Edward Suhoski | Registered representative | Aug 2007 (19y) | ||
| James Patrick Mcenery | Registered representative | Aug 2007 (19y) | ||
| Mark Andrew Hutchings | Registered representative | Sep 2007 (19y) | ||
| Michael John Wollitz | Registered representative | Oct 2007 (19y) | ||
| Aron George Lukacs | Registered representative | Dec 2007 (19y) | ||
| Charles David Garin | Registered representative | Mar 2008 (18y) | ||
| Natalie Paige Harwell | Registered representative | May 2008 (18y) | ||
| Stephanie L Graf | Registered representative | Jun 2008 (18y) | ||
| Kenneth Hideyo Di Fiore | Registered representative | Aug 2008 (18y) | ||
| James Nicholas Clark | Registered representative | Aug 2008 (18y) | ||
| Otis L Smith | Registered representative | Aug 2008 (18y) | ||
| Timothy Philip Pounds | Registered representative | Oct 2008 (18y) | ||
| Matthew Earle Hooper | Registered representative | Oct 2008 (18y) | ||
| Jennifer Marie Muir | Registered representative | Oct 2008 (18y) | ||
| Casey Scott Vaughan | Registered representative | Oct 2008 (18y) | ||
| Zachary Tate Hutchings | Registered representative | Oct 2008 (18y) | ||
| Kathleen Jean Short | Registered representative | Dec 2008 (18y) | ||
| Matthew Robert Sears | Registered representative | Dec 2008 (18y) | ||
| Ross Aaron Norman | Registered representative | Dec 2008 (18y) | ||
| Addam Michael Piazza | Registered representative | Jan 2009 (18y) | ||
| Loren Charles Conners | Registered representative | Jan 2009 (18y) | ||
| Mathew Walter Lee | Registered representative | Mar 2009 (17y) | ||
| Emily Ane Sobut | Registered representative | Jun 2009 (17y) | ||
| Brian J Woodruff | Registered representative | Aug 2009 (17y) | ||
| Alexandra Fedynsky | Registered representative | Aug 2009 (17y) | ||
| Gregory Joseph Auerbach | Registered representative | Nov 2009 (17y) | ||
| Michael Andrew Ceccoli | Registered representative | Mar 2010 (16y) | ||
| Lauren Mclean Silski | Registered representative | Mar 2010 (16y) | ||
| Michael Wayne Bluhm | Registered representative | Mar 2010 (16y) | ||
| Samir Pradip Shah | Registered representative | Mar 2010 (16y) | ||
| Edward David Dunphy | Registered representative | Apr 2010 (16y) | ||
| Elizabeth Ann Zorn | Registered representative | May 2010 (16y) | ||
| Timothy Harold Jervis | Registered representative | Jun 2010 (16y) | ||
| Chad Arthur Bellows | Registered representative | Jun 2010 (16y) | ||
| Joseph Andrew Yeager | Registered representative | Sep 2010 (16y) | ||
| Steven David Palazzolo | Registered representative | Sep 2010 (16y) | ||
| Matthew Robert Kenter | Registered representative | Oct 2010 (16y) | ||
| Erin Kline Feist | Registered representative | Oct 2010 (16y) | ||
| Brandon Lee O'leary | Registered representative | Nov 2010 (16y) | ||
| Andrew James Mitchell | Registered representative | Dec 2010 (16y) | ||
| Ryan Michael Daliege | Registered representative | Jan 2011 (16y) | ||
| Matthew Ryan Burel | Registered representative | Jan 2011 (16y) | ||
| Lucas Michael Bogard | Registered representative | Feb 2011 (15y) | ||
| Luke Austin Rollins | Registered representative | Mar 2011 (15y) | ||
| Daniel Joseph Flusche | Registered representative | Mar 2011 (15y) | ||
| Kristopher Lawrence Gallaher | Registered representative | Jun 2011 (15y) | ||
| Teresa Rowan Campbell | Registered representative | Jun 2011 (15y) | ||
| Dheepu P Nambiar | Registered representative | Jul 2011 (15y) | ||
| Daniel Timothy Tiprigan | Registered representative | CFP | Sep 2011 (15y) | |
| Brett Benjamin Higgins | Registered representative | Oct 2011 (15y) | ||
| Ryan Christopher Mitchell | Registered representative | Oct 2011 (15y) | ||
| Justin Edward Duncan | Registered representative | Nov 2011 (15y) | ||
| Carin Leigh Luyben | Registered representative | Mar 2012 (14y) | ||
| Nicholas Waldron Marsh | Registered representative | Mar 2012 (14y) | ||
| Timothy Christie Stephens | Registered representative | Jun 2012 (14y) | ||
| Daniel Gregory Madia | Registered representative | Jun 2012 (14y) | ||
| Jason Marc Frieder | Registered representative | CFP | Jan 2013 (14y) | |
| Christopher A Zajac | Registered representative | Apr 2013 (13y) | ||
| Francisco Sherren | Registered representative | Apr 2013 (13y) | ||
| Aaron Scott Ring | Registered representative | May 2013 (13y) | ||
| Matthew James Faulkner | Registered representative | May 2013 (13y) | ||
| Heather Anne Hoyt | Registered representative | Jun 2013 (13y) | ||
| Zachary Aaron Harrell | Registered representative | Jun 2013 (13y) | ||
| Travis Pietrusza | Registered representative | Aug 2013 (13y) | ||
| Eryn Rachel Clemens | Registered representative | Aug 2013 (13y) | ||
| Paul Edward Rogers | Registered representative | Aug 2013 (13y) | ||
| Kevin Lee Crabb | Registered representative | Sep 2013 (13y) | ||
| Lance Edward Britt | Registered representative | Nov 2013 (13y) | ||
| Nadine Virani | Registered representative | Nov 2013 (13y) | ||
| Jonathan Charles Proctor | Registered representative | Nov 2013 (13y) | ||
| Tina Marie Welles | Registered representative | Nov 2013 (13y) | ||
| Tyler Charles Hujik | Registered representative | Dec 2013 (13y) | ||
| Charles Collingwood Fawcett | Registered representative | Jan 2014 (13y) | ||
| Evan Gallipoli | Registered representative | Jan 2014 (13y) | ||
| Sean Andrew Landgren | Registered representative | Feb 2014 (12y) | ||
| Joshua Allen Stelzer | Registered representative | Mar 2014 (12y) | ||
| David Edward Rog | Registered representative | May 2014 (12y) | ||
| Ann Elise Mock | Registered representative | Aug 2014 (12y) | ||
| Cameron William Schneider | Registered representative | Aug 2014 (12y) | ||
| Pejimmy George Faragalla | Registered representative | Aug 2014 (12y) | ||
| Karen A Hendrick | Registered representative | Sep 2014 (12y) | ||
| Cameron Lee Almond | Registered representative | Oct 2014 (12y) | ||
| Jonathan Earl Mayol | Registered representative | Oct 2014 (12y) | ||
| Steven Raymond Abraham | Registered representative | Oct 2014 (12y) | ||
| Alexander W Scheier | Registered representative | Nov 2014 (12y) | ||
| Elliott David Thron | Registered representative | Nov 2014 (12y) | ||
| Martin Joseph Donnelly | Registered representative | Nov 2014 (12y) | ||
| Eric James Daliege | Registered representative | Dec 2014 (12y) | ||
| Sonia Henry Dowell | Registered representative | Jan 2015 (12y) | ||
| Kevin T Smith | Registered representative | CFP | Feb 2015 (11y) | |
| Timothy Scott Ostrander | Registered representative | Feb 2015 (11y) | ||
| Eric John Sweeney | Registered representative | May 2015 (11y) | ||
| Christopher Jon Winter | Registered representative | CFP | May 2015 (11y) | |
| Lauren Alexandra Gerling | Registered representative | May 2015 (11y) | ||
| Kaelyn Marielle Marsano | Registered representative | Jun 2015 (11y) | ||
| Shane Patrick Mcmahon | Registered representative | Jun 2015 (11y) | ||
| Adam M Moran | Registered representative | Jul 2015 (11y) | ||
| Nate Danielle Collette | Registered representative | CFP | Jul 2015 (11y) | |
| Brent Ramon Norniella | Registered representative | Aug 2015 (11y) | ||
| Ryan Thomas Rose Dugan | Registered representative | Aug 2015 (11y) | ||
| Jessica Salameh Divincent | Registered representative | Sep 2015 (11y) | ||
| Joseph E Stallings | Registered representative | Oct 2015 (11y) | ||
| Stephen James Hanak | Registered representative | Oct 2015 (11y) | ||
| David Joseph Mcguffey | Registered representative | Nov 2015 (11y) | ||
| Tyler Jon Gerling | Registered representative | Nov 2015 (11y) | ||
| Justin Takeo Kessler | Registered representative | Dec 2015 (11y) | ||
| James Richard Dewhurst | Registered representative | Dec 2015 (11y) | ||
| Alexander Kent Powell | Registered representative | Jan 2016 (11y) | ||
| Brian Jeffrey Mengel | Registered representative | Jan 2016 (11y) | ||
| Jennifer Lynn Mashini | Registered representative | Feb 2016 (10y) | ||
| Jason Michael Mudrock | Registered representative | Feb 2016 (10y) | ||
| Kirstin Molloy Wiskirchen | Registered representative | Mar 2016 (10y) | ||
| David Royce Gregory | Registered representative | Apr 2016 (10y) | ||
| Rocky Alexander Francis | Registered representative | Jul 2016 (10y) | ||
| John Casey Conners | Registered representative | Aug 2016 (10y) | ||
| Matthew A Kumzi | Registered representative | Aug 2016 (10y) | ||
| Bernie Zeruhn | Registered representative | Aug 2016 (10y) | ||
| Samantha Nicole Cherf | Registered representative | Sep 2016 (10y) | ||
| Greg Lu | Registered representative | Sep 2016 (10y) | ||
| Matthew Thomas Hammer | Registered representative | Oct 2016 (10y) | ||
| Todd William Franza | Registered representative | Oct 2016 (10y) | ||
| Kelsey Liane Zukowski | Registered representative | Dec 2016 (10y) | ||
| Meghan Anne Mclain | Registered representative | Jan 2017 (10y) | ||
| David James Kaminski | Registered representative | Apr 2017 (9y) | ||
| Adam Loreto Tamburro | Registered representative | May 2017 (9y) | ||
| Erin Mitchell Battistello | Registered representative | May 2017 (9y) | ||
| Aaron Phillip Skutelsky | Registered representative | Jun 2017 (9y) | ||
| Alexander Jay Simpson | Registered representative | Aug 2017 (9y) | ||
| Joseph Michael Stinton | Registered representative | Sep 2017 (9y) | ||
| Robert Emmett Baxter | Registered representative | Sep 2017 (9y) | ||
| Benjamin James Casso | Registered representative | Nov 2017 (9y) | ||
| Christopher Joseph Valvassori | Registered representative | Nov 2017 (9y) | ||
| Laura Elizabeth Mchugo | Registered representative | Dec 2017 (9y) | ||
| Anthony Joseph Bevilacqua | Registered representative | Jan 2018 (9y) | ||
| Hana Mohamed Jibrel | Registered representative | Feb 2018 (8y) | ||
| Jennifer Vyvy Nguyen | Registered representative | Feb 2018 (8y) | ||
| Terrence Randel Babe | Registered representative | CFA | Feb 2018 (8y) | |
| Kimia Mousavi Steed | Registered representative | Mar 2018 (8y) | ||
| Valerie M Powers | Registered representative | Mar 2018 (8y) | ||
| Andrew Dempsey Mclean | Registered representative | Mar 2018 (8y) | ||
| Brock Patrick Pompeani | Registered representative | Apr 2018 (8y) | ||
| Johnny Covello | Registered representative | Apr 2018 (8y) | ||
| Jonathan Farmer Kirby | Registered representative | May 2018 (8y) | ||
| Nicholas Charles Ravry | Registered representative | Jun 2018 (8y) | ||
| Ariel Meshel Webb | Registered representative | Jun 2018 (8y) | ||
| Michael Philip Caputo | Registered representative | Aug 2018 (8y) | ||
| Analiese Diane Lauro | Registered representative | Aug 2018 (8y) | ||
| Andrew Alton Wood | Registered representative | Sep 2018 (8y) | ||
| Daniel Sean Baird | Registered representative | Sep 2018 (8y) | ||
| Jacob Joseph Brunetti | Registered representative | Sep 2018 (8y) | ||
| John Dewald | Registered representative | Sep 2018 (8y) | ||
| Keith V. Halabuda | Registered representative | Oct 2018 (8y) | ||
| Taylor John Parks | Registered representative | Oct 2018 (8y) | ||
| Ryan Patrick Miller | Registered representative | Oct 2018 (8y) | ||
| Cameron Hebert | Registered representative | Nov 2018 (8y) | ||
| Gemma Samantha Sarah Cooper | Registered representative | Nov 2018 (8y) | ||
| Joseph Daniel Radack | Registered representative | Nov 2018 (8y) | ||
| Giovanni Sciancalepore | Registered representative | Nov 2018 (8y) | ||
| Katherine Chen | Registered representative | Nov 2018 (8y) | ||
| Sydney Alexandra Eroshevich | Registered representative | Nov 2018 (8y) | ||
| Elizabeth Saylor | Registered representative | Dec 2018 (8y) | ||
| Tyler Glassman | Registered representative | Dec 2018 (8y) | ||
| Lauren Lee | Registered representative | Jan 2019 (8y) | ||
| John Albert Kendig | Registered representative | Jan 2019 (8y) | ||
| Giovanni Joseph Scisci | Registered representative | Jan 2019 (8y) | ||
| Michael Quiroga | Registered representative | Jan 2019 (8y) | ||
| William T Sanders | Registered representative | Feb 2019 (7y) | ||
| Amir A Ahmed | Registered representative | Feb 2019 (7y) | ||
| Kevin Patrick Wright | Registered representative | Mar 2019 (7y) | ||
| Mary Mantle Norniella | Registered representative | Mar 2019 (7y) | ||
| Brennan R Laporte | Registered representative | Jun 2019 (7y) | ||
| Emma I Salzman | Registered representative | Jun 2019 (7y) | ||
| Jonathan M Ayache | Registered representative | Jun 2019 (7y) | ||
| Jayesh C Intwala | Registered representative | CFA | Aug 2019 (7y) | |
| Jeffrey Ellis Jackson | Registered representative | Aug 2019 (7y) | ||
| Bryce M Norniella | Registered representative | Aug 2019 (7y) | ||
| Michael J Bizzoco | Registered representative | Sep 2019 (7y) | ||
| Catherine G Gordon | Registered representative | Sep 2019 (7y) | ||
| Stephen Andros | Registered representative | Sep 2019 (7y) | ||
| Luke Keck | Registered representative | Oct 2019 (7y) | ||
| Nolan Lenc | Registered representative | Oct 2019 (7y) | ||
| Yiyin Xia | Registered representative | Oct 2019 (7y) | ||
| Christopher Poisson | Registered representative | Oct 2019 (7y) | ||
| Charlotte S Parnell | Registered representative | Nov 2019 (7y) | ||
| Eamon R Mcosker | Registered representative | Nov 2019 (7y) | ||
| Daniel Lanman | Registered representative | Nov 2019 (7y) | ||
| John Hart | Registered representative | Nov 2019 (7y) | ||
| Sean Patrick Mcnamara | Registered representative | Nov 2019 (7y) | ||
| Jennifer Jill Robertson | Registered representative | Nov 2019 (7y) | ||
| Julian Mitchell Koeneman | Registered representative | Nov 2019 (7y) | ||
| Michael J Mackesy | Registered representative | Dec 2019 (7y) | ||
| John Choate | Registered representative | Dec 2019 (7y) | ||
| Debra Inez Doe | Registered representative | Dec 2019 (7y) | ||
| Peter Brent Koehler | Registered representative | Jan 2020 (7y) | ||
| Matthew Paul Ozuna | Registered representative | Jan 2020 (7y) | ||
| Bridget Marie Holbrook | Registered representative | Jan 2020 (7y) | ||
| Evan M Trent | Registered representative | Jan 2020 (7y) | ||
| Michael Jared Berkowitz | Registered representative | Jan 2020 (7y) | ||
| Jessica M Perez | Registered representative | Feb 2020 (6y) | ||
| Daniel Thomas Kurylas | Registered representative | Feb 2020 (6y) | ||
| Lisa Marie Esposito | Registered representative | Feb 2020 (6y) | ||
| Gary J Teague | Registered representative | Feb 2020 (6y) | ||
| Zachary D Dunning | Registered representative | Mar 2020 (6y) | ||
| Nicholas M Reidich | Registered representative | Mar 2020 (6y) | ||
| Lindsay Gregory | Registered representative | Mar 2020 (6y) | ||
| Joshua Allen Crichton | Registered representative | May 2020 (6y) | ||
| George T Skaltsis | Registered representative | Jun 2020 (6y) | ||
| Dominic J Rosso | Registered representative | Jul 2020 (6y) | ||
| Juncheng Yang | Registered representative | Jul 2020 (6y) | ||
| Spencer Andrew Kubit | Registered representative | Jul 2020 (6y) | ||
| Seth Halley | Registered representative | Jul 2020 (6y) | ||
| Liane Pavon Lodeiro | Registered representative | Sep 2020 (6y) | ||
| Xavier M Thomas | Registered representative | Sep 2020 (6y) | ||
| Cole Jacob Pedro | Registered representative | Sep 2020 (6y) | ||
| Melissa J Streich | Registered representative | Sep 2020 (6y) | ||
| Pierce Mitchell Kaufman | Registered representative | Sep 2020 (6y) | ||
| Brooke Elizabeth Gordon | Registered representative | Sep 2020 (6y) | ||
| Caroline Scisci | Registered representative | Sep 2020 (6y) | ||
| Sarah Yuen | Registered representative | Oct 2020 (6y) | ||
| Kathleen D Tran | Registered representative | Oct 2020 (6y) | ||
| Dominique Fisichella | Registered representative | Dec 2020 (6y) | ||
| Mark Allyn Popeleski | Registered representative | Dec 2020 (6y) | ||
| Linh Thao Pham | Registered representative | Dec 2020 (6y) | ||
| Thomas Roy Suarez | Registered representative | Dec 2020 (6y) | ||
| Liam D Kane | Registered representative | Jan 2021 (6y) | ||
| Thomas Nicholas Caiazzo | Registered representative | Jan 2021 (6y) | ||
| Brooke M Hurley | Registered representative | Feb 2021 (5y) | ||
| Cathryn Jane A Javier | Registered representative | Feb 2021 (5y) | ||
| Cooper Thomas Keener | Registered representative | Feb 2021 (5y) | ||
| Jordan Harold Greenhall | Registered representative | Feb 2021 (5y) | ||
| Regina M Pollack | Registered representative | Feb 2021 (5y) | ||
| Rachel M Walsh | Registered representative | Feb 2021 (5y) | ||
| Louise Lapras | Registered representative | Mar 2021 (5y) | ||
| Pranav Mathur | Registered representative | Mar 2021 (5y) | ||
| Samuel Sherman Scribner | Registered representative | Mar 2021 (5y) | ||
| Tahra Albert Wohlert | Registered representative | Mar 2021 (5y) | ||
| Andrew Sorenson | Registered representative | Apr 2021 (5y) | ||
| Frank L Milnarik | Registered representative | Apr 2021 (5y) | ||
| Alexander James Dunn | Registered representative | Apr 2021 (5y) | ||
| Amelia Maria Hastings | Registered representative | Apr 2021 (5y) | ||
| Andrea Michelle Gregory | Registered representative | Apr 2021 (5y) | ||
| Andrew J Armstrong | Registered representative | Apr 2021 (5y) | ||
| Andrew James Matthews | Registered representative | Apr 2021 (5y) | ||
| Andrew M Lewis | Registered representative | Apr 2021 (5y) | ||
| Andrew Mark King | Registered representative | Apr 2021 (5y) | ||
| Anjalee Daryani | Registered representative | Apr 2021 (5y) | ||
| Anthony J Toffenetti | Registered representative | Apr 2021 (5y) | ||
| Ashley Nicole King | Registered representative | Apr 2021 (5y) | ||
| Athena R Trapalis | Registered representative | Apr 2021 (5y) | ||
| Bourke Edward Kraus | Registered representative | Apr 2021 (5y) | ||
| Brett Marcus Blair | Registered representative | Apr 2021 (5y) | ||
| Brett W Clatworthy | Registered representative | Apr 2021 (5y) | ||
| Brian Andrew Rasizer | Registered representative | CFA | Apr 2021 (5y) | |
| Brody O'connor | Registered representative | Apr 2021 (5y) | ||
| Bryant Michael Nikodem | Registered representative | Apr 2021 (5y) | ||
| Charles Peter Peltz | Registered representative | Apr 2021 (5y) | ||
| Chas Stephen Lacko | Registered representative | Apr 2021 (5y) | ||
| Christian Michael Tychostup | Registered representative | Apr 2021 (5y) | ||
| Christopher E Sutton | Registered representative | Apr 2021 (5y) | ||
| Christopher Jerald William Therrien | Registered representative | Apr 2021 (5y) | ||
| Christopher R Marotta | Registered representative | Apr 2021 (5y) | ||
| Christopher Scott Hass | Registered representative | Apr 2021 (5y) | ||
| Colin David Hughes | Registered representative | Apr 2021 (5y) | ||
| Cory James Alverson | Registered representative | Apr 2021 (5y) | ||
| Courtney Kate Krisanda | Registered representative | Apr 2021 (5y) | ||
| Daniel C Buff | Registered representative | Apr 2021 (5y) | ||
| Daniel D Yankowski | Registered representative | Apr 2021 (5y) | ||
| Daniel Irwin Josepher | Registered representative | Apr 2021 (5y) | ||
| Daniel J. Cooper | Registered representative | Apr 2021 (5y) | ||
| Daniel Patrick Mccormack | Registered representative | Apr 2021 (5y) | ||
| David Hehir | Registered representative | Apr 2021 (5y) | ||
| Denise Michelle Riedy | Registered representative | Apr 2021 (5y) | ||
| Erik David Rayno | Registered representative | Apr 2021 (5y) | ||
| Ethan Dimura | Registered representative | Apr 2021 (5y) | ||
| Grace C. Nicastro | Registered representative | Apr 2021 (5y) | ||
| Gregory Steven Bankowski | Registered representative | Apr 2021 (5y) | ||
| Heather Lynn Hudson | Registered representative | Apr 2021 (5y) | ||
| Heather N. Lee | Registered representative | Apr 2021 (5y) | ||
| James R Bernard | Registered representative | Apr 2021 (5y) | ||
| Jared Alexander Benton Ramirez | Registered representative | Apr 2021 (5y) | ||
| Jason Michael Greene | Registered representative | Apr 2021 (5y) | ||
| Jeffrey Scott Van Wagner | Registered representative | Apr 2021 (5y) | ||
| Jenna E. Potter | Registered representative | Apr 2021 (5y) | ||
| Jenna Marie Felitte | Registered representative | Apr 2021 (5y) | ||
| Jesse S. Lieberman | Registered representative | Apr 2021 (5y) | ||
| John D Flavin | Registered representative | Apr 2021 (5y) | ||
| John Michael Burke | Registered representative | Apr 2021 (5y) | ||
| John Raymond Justice | Registered representative | Apr 2021 (5y) | ||
| Jonathan Francis Loeck | Registered representative | CFA | Apr 2021 (5y) | |
| Joseph Abed El Latif | Registered representative | Apr 2021 (5y) | ||
| Joseph Fritz Hasenkopf | Registered representative | Apr 2021 (5y) | ||
| Joshua Adam Cooper | Registered representative | Apr 2021 (5y) | ||
| Joshua Joseph Perry | Registered representative | Apr 2021 (5y) | ||
| Joshua Michael Duell | Registered representative | Apr 2021 (5y) | ||
| Joshua Nicholas Gregg | Registered representative | Apr 2021 (5y) | ||
| Joshua Thomas Clark | Registered representative | Apr 2021 (5y) | ||
| Justin E Carruthers | Registered representative | Apr 2021 (5y) | ||
| Katrina M Taylor | Registered representative | Apr 2021 (5y) | ||
| Kaylee E Merlow | Registered representative | Apr 2021 (5y) | ||
| Kurt Josef Heiss | Registered representative | Apr 2021 (5y) | ||
| Laura Beth Carroll | Registered representative | Apr 2021 (5y) | ||
| Liam Roohan | Registered representative | Apr 2021 (5y) | ||
| Luke Abraham Boughton | Registered representative | Apr 2021 (5y) | ||
| Mackenzie Ryan Scharf | Registered representative | Apr 2021 (5y) | ||
| Matthew Albert Neri | Registered representative | Apr 2021 (5y) | ||
| Matthew C Williams | Registered representative | Apr 2021 (5y) | ||
| Matthew Hall | Registered representative | Apr 2021 (5y) | ||
| Matthew James Carras | Registered representative | Apr 2021 (5y) | ||
| Matthew Orson Valentine | Registered representative | Apr 2021 (5y) | ||
| Megan Kathleen Bishop | Registered representative | Apr 2021 (5y) | ||
| Michael A Crupi | Registered representative | Apr 2021 (5y) | ||
| Michael Anthony Blair | Registered representative | Apr 2021 (5y) | ||
| Michael Edward Davis | Registered representative | Apr 2021 (5y) | ||
| Michael Francis Normile | Registered representative | Apr 2021 (5y) | ||
| Michael John Lyons | Registered representative | Apr 2021 (5y) | ||
| Michael Kane | Registered representative | Apr 2021 (5y) | ||
| Michael P. Zielenski | Registered representative | Apr 2021 (5y) | ||
| Michael Scott Moorby | Registered representative | Apr 2021 (5y) | ||
| Michael W Mauriello | Registered representative | Apr 2021 (5y) | ||
| Morgan Marie Fallati | Registered representative | Apr 2021 (5y) | ||
| Patrick Casey Ganley | Registered representative | Apr 2021 (5y) | ||
| Paul E Gugino | Registered representative | Apr 2021 (5y) | ||
| Paul Francis Liguori | Registered representative | Apr 2021 (5y) | ||
| Philip M Chieco | Registered representative | Apr 2021 (5y) | ||
| Raziq Farhat | Registered representative | Apr 2021 (5y) | ||
| Rosa Gabrielle Commisso | Registered representative | Apr 2021 (5y) | ||
| Ryan J Lacasse | Registered representative | Apr 2021 (5y) | ||
| Ryan Marschner Gronostaj | Registered representative | CFP Chartered Financial Consultant | Apr 2021 (5y) | |
| Samuel U Awa | Registered representative | Apr 2021 (5y) | ||
| Sarah Anne Motto | Registered representative | Apr 2021 (5y) | ||
| Sarah Anne Sprout | Registered representative | Apr 2021 (5y) | ||
| Shawn Michael Conroy | Registered representative | Apr 2021 (5y) | ||
| Stephen Gerard Archer | Registered representative | Apr 2021 (5y) | ||
| Steven Rapfogel | Registered representative | Apr 2021 (5y) | ||
| Taylor Mcmillen | Registered representative | Apr 2021 (5y) | ||
| Thomas Francis Currie | Registered representative | Apr 2021 (5y) | ||
| Timothy P Latchford | Registered representative | Apr 2021 (5y) | ||
| Tyler James Brady | Registered representative | Apr 2021 (5y) | ||
| Zachary M. Cietek | Registered representative | Apr 2021 (5y) | ||
| Zachary S Girvin | Registered representative | Apr 2021 (5y) | ||
| Amanda Marie Ripley | Registered representative | Apr 2021 (5y) | ||
| Jessica Diane Macci | Registered representative | Apr 2021 (5y) | ||
| Leah Gauthier Anderson | Registered representative | Apr 2021 (5y) | ||
| Joy Sahara Bell | Registered representative | Apr 2021 (5y) | ||
| Allison Chema | Registered representative | May 2021 (5y) | ||
| Lacie Nicole Holbert | Registered representative | May 2021 (5y) | ||
| Brian Woodfield | Registered representative | May 2021 (5y) | ||
| Samuel Wayne Marshall | Registered representative | May 2021 (5y) | ||
| Anna Kathleen Millea | Registered representative | CFP | May 2021 (5y) | |
| Brian Thomas Mullally | Registered representative | CFP | May 2021 (5y) | |
| David Gregory Eddy | Registered representative | CFP | May 2021 (5y) | |
| James Allan Macarevey | Registered representative | May 2021 (5y) | ||
| Michael Guiliano | Registered representative | CFP | May 2021 (5y) | |
| Samuel Douglas Beaulac | Registered representative | May 2021 (5y) | ||
| Thomas Michael Murphy | Registered representative | CFP | May 2021 (5y) | |
| Vincent Pacinella | Registered representative | CFP | May 2021 (5y) | |
| William D Antone | Registered representative | CFP | May 2021 (5y) | |
| Daniel Scott Usher | Registered representative | CFP | May 2021 (5y) | |
| Maria Angrisani | Registered representative | May 2021 (5y) | ||
| John Depaola | Registered representative | Jun 2021 (5y) | ||
| Kathleen Mary Lemire | Registered representative | Jun 2021 (5y) | ||
| Rebecca Mason | Registered representative | Jun 2021 (5y) | ||
| Seifeldin Refaat | Registered representative | Jun 2021 (5y) | ||
| Devin M Higgins | Registered representative | Jun 2021 (5y) | ||
| David William Wronowski | Registered representative | CFA | Jun 2021 (5y) | |
| Dana Bertrand | Registered representative | Jun 2021 (5y) | ||
| Zlatko Beganovic | Registered representative | Jul 2021 (5y) | ||
| Thomas Gabriel D'angelo | Registered representative | Jul 2021 (5y) | ||
| Edward John Hughes | Registered representative | Jul 2021 (5y) | ||
| Giovanni Tedesco | Registered representative | Jul 2021 (5y) | ||
| Jane Kearsey | Registered representative | Jul 2021 (5y) | ||
| Jonathan Ryan Woods | Registered representative | Jul 2021 (5y) | ||
| Joseph Daniel Rigabar | Registered representative | Jul 2021 (5y) | ||
| Kathleen Marie Starr | Registered representative | Jul 2021 (5y) | ||
| Kelly Jean Seeley | Registered representative | Jul 2021 (5y) | ||
| Kristina Dawn Morales Tira | Registered representative | Jul 2021 (5y) | ||
| Nicholas Anthony Morais | Registered representative | Jul 2021 (5y) | ||
| Rhiannon Dee Commisso | Registered representative | Jul 2021 (5y) | ||
| Ryan H Ventre | Registered representative | Jul 2021 (5y) | ||
| Scott Russell | Registered representative | Jul 2021 (5y) | ||
| Thomas P Landers | Registered representative | Jul 2021 (5y) | ||
| Grace Ellen Shumway | Registered representative | Jul 2021 (5y) | ||
| Benjamin Joseph Adams | Registered representative | Jul 2021 (5y) | ||
| Jamie Nelson Dodge | Registered representative | Jul 2021 (5y) | ||
| Robert Michael Dolan | Registered representative | Jul 2021 (5y) | ||
| Timothy Louis Buff | Registered representative | Jul 2021 (5y) | ||
| Connor Edward Benvenuti | Registered representative | Jul 2021 (5y) | ||
| Cheryl Anne Hunter | Registered representative | Jul 2021 (5y) | ||
| Kathleen Mary Lahey | Registered representative | Jul 2021 (5y) | ||
| Eileen Ann Lapann | Registered representative | Jul 2021 (5y) | ||
| Maryam Vahabzadeh | Registered representative | Jul 2021 (5y) | ||
| Allen Arnold Edward Kummu | Registered representative | Jul 2021 (5y) | ||
| Ann Seton Quinn | Registered representative | Jul 2021 (5y) | ||
| Ashley Chowdhury | Registered representative | Jul 2021 (5y) | ||
| Blaine Michael Dunn | Registered representative | Jul 2021 (5y) | ||
| Brian David Lussier | Registered representative | Jul 2021 (5y) | ||
| Christopher Jeffrey Madej | Registered representative | Jul 2021 (5y) | ||
| Darryll Scott Towsley | Registered representative | Jul 2021 (5y) | ||
| David S Parseghian | Registered representative | Jul 2021 (5y) | ||
| Donald Abel Timpanaro | Registered representative | Jul 2021 (5y) | ||
| Jason Phillip Mallette | Registered representative | Jul 2021 (5y) | ||
| Katherine Conover Murphy | Registered representative | Jul 2021 (5y) | ||
| Kristin Irene Macdonald | Registered representative | Jul 2021 (5y) | ||
| Matthew Burnham Heerwagen | Registered representative | Jul 2021 (5y) | ||
| Richard Harold Coughlin | Registered representative | Jul 2021 (5y) | ||
| Shawn Joseph Patrick | Registered representative | Jul 2021 (5y) | ||
| Stephanie Conti | Registered representative | Jul 2021 (5y) | ||
| T. Christopher Rajchel | Registered representative | Jul 2021 (5y) | ||
| Thomas Athanasios Jones | Registered representative | Jul 2021 (5y) | ||
| Thomas Edward Ruppel | Registered representative | Jul 2021 (5y) | ||
| Thomas Steven Cucinotta | Registered representative | Jul 2021 (5y) | ||
| Charles William Judge | Registered representative | Jul 2021 (5y) | ||
| Michael P Murray | Registered representative | Jul 2021 (5y) | ||
| Michael R Bergman | Registered representative | Jul 2021 (5y) | ||
| Scott M Debiase | Registered representative | Jul 2021 (5y) | ||
| Stacy Eyth Jones | Registered representative | Jul 2021 (5y) | ||
| Heather Marie Carver | Registered representative | Jul 2021 (5y) | ||
| Peter John O'connor | Registered representative | Jul 2021 (5y) | ||
| Robert Ryan Chapman | Registered representative | Jul 2021 (5y) | ||
| Megan L Yip | Registered representative | Jul 2021 (5y) | ||
| Alexandra Emmett | Registered representative | Jul 2021 (5y) | ||
| Logan N Ryan | Registered representative | Aug 2021 (5y) | ||
| Amanda M Azzopardi | Registered representative | Aug 2021 (5y) | ||
| Kevin Jon Gennarelli | Registered representative | Aug 2021 (5y) | ||
| Matthew L Ward | Registered representative | CFP | Aug 2021 (5y) | |
| Elizabeth Melissa Woldring | Registered representative | Aug 2021 (5y) | ||
| Timothy Joseph Crill | Registered representative | Aug 2021 (5y) | ||
| Stephanie Rose Scorziello | Registered representative | Aug 2021 (5y) | ||
| Jacklyn Lackey | Registered representative | Sep 2021 (5y) | ||
| Sandra Isabel Castro | Registered representative | Sep 2021 (5y) | ||
| Lucille Marie Logozzo | Registered representative | Sep 2021 (5y) | ||
| Andrew Tsororos | Registered representative | Sep 2021 (5y) | ||
| Joao Pedro De Figueiredo Godoy | Registered representative | Sep 2021 (5y) | ||
| Madhura Shringare | Registered representative | Sep 2021 (5y) | ||
| Richard Chong | Registered representative | Sep 2021 (5y) | ||
| John Travis Fealy | Registered representative | Oct 2021 (5y) | ||
| Allison Michelle Larman | Registered representative | CFP | Oct 2021 (5y) | |
| Julianna Grace Crang | Registered representative | Oct 2021 (5y) | ||
| Lisa D Johnson | Registered representative | Oct 2021 (5y) | ||
| Christopher A Meano | Registered representative | Oct 2021 (5y) | ||
| Nathan A Derrick | Registered representative | Oct 2021 (5y) | ||
| Alvin Desire Fonkoua Sop | Registered representative | CFP | Oct 2021 (5y) | |
| Daniel Sunday | Registered representative | Oct 2021 (5y) | ||
| Keletso Hope Zondo | Registered representative | Oct 2021 (5y) | ||
| Courtney Mc Clellan | Registered representative | Oct 2021 (5y) | ||
| Yixiang Huang | Registered representative | Oct 2021 (5y) | ||
| Husain Hicham Bazzi | Registered representative | Oct 2021 (5y) | ||
| Olivia Postweiler | Registered representative | Oct 2021 (5y) | ||
| Jack Ryan Mathews | Registered representative | Oct 2021 (5y) | ||
| Ryan Mc Grath | Registered representative | Oct 2021 (5y) | ||
| Garett Michael Rodriguez | Registered representative | Oct 2021 (5y) | ||
| Griffin Egan | Registered representative | Oct 2021 (5y) | ||
| Alexi Caitlin Maher | Registered representative | Nov 2021 (5y) | ||
| Devin J Coffey | Registered representative | Nov 2021 (5y) | ||
| Haley Marie Hawk | Registered representative | Nov 2021 (5y) | ||
| Jacob Anthony Pollicino | Registered representative | Nov 2021 (5y) | ||
| Anna Parlin Stojanovic | Registered representative | Nov 2021 (5y) | ||
| Abigail Kiggen | Registered representative | Nov 2021 (5y) | ||
| Amir Kolyani | Registered representative | Nov 2021 (5y) | ||
| Ariel Gonzalez | Registered representative | Dec 2021 (5y) | ||
| Julianne A De Marco | Registered representative | Dec 2021 (5y) | ||
| Alexander Von Ribbeck Schon | Registered representative | Dec 2021 (5y) | ||
| Tyler J Kopacki | Registered representative | Dec 2021 (5y) | ||
| Herman Cheung | Registered representative | Dec 2021 (5y) | ||
| Ryder Stahl | Registered representative | Dec 2021 (5y) | ||
| Sergio Dominguez Florencio | Registered representative | Dec 2021 (5y) | ||
| Ryan Wilson Johnson | Registered representative | Dec 2021 (5y) | ||
| Jonathan Aaron Greeson | Registered representative | Jan 2022 (5y) | ||
| Jonathan James Markowicz | Registered representative | Jan 2022 (5y) | ||
| Jodie Y Kim | Registered representative | Jan 2022 (5y) | ||
| Kristina Diane Rudolph | Registered representative | Jan 2022 (5y) | ||
| Max Spagnola | Registered representative | Jan 2022 (5y) | ||
| Carson Austin Lake | Registered representative | Jan 2022 (5y) | ||
| Yelizaveta Malysheva | Registered representative | Jan 2022 (5y) | ||
| Dara Diane Pallatto | Registered representative | Jan 2022 (5y) | ||
| Justin Michael Metzger | Registered representative | Jan 2022 (5y) | ||
| Aidan Cohane | Registered representative | Jan 2022 (5y) | ||
| Chance Christian Wegner | Registered representative | Jan 2022 (5y) | ||
| Trevor Dinh | Registered representative | Jan 2022 (5y) | ||
| Robert Van Nguyen | Registered representative | Jan 2022 (5y) | ||
| Anakaren Rosas | Registered representative | Jan 2022 (5y) | ||
| Anthony Thomas Castano | Registered representative | Jan 2022 (5y) | ||
| Jerome M Delsordo | Registered representative | Jan 2022 (5y) | ||
| Richard J Desch | Registered representative | Jan 2022 (5y) | ||
| Wesley David Huber | Registered representative | Jan 2022 (5y) | ||
| Zachary James Augliano | Registered representative | CFP | Feb 2022 (4y) | |
| John Frank Dineen | Registered representative | Feb 2022 (4y) | ||
| John Joseph Riker | Registered representative | Feb 2022 (4y) | ||
| Sloan J Luckie | Registered representative | Feb 2022 (4y) | ||
| Ally Nichole Becker | Registered representative | Mar 2022 (4y) | ||
| Nathaniel Richard Burns | Registered representative | Mar 2022 (4y) | ||
| Shea Mccartney | Registered representative | Mar 2022 (4y) | ||
| Russell Laurance Merchant | Registered representative | Mar 2022 (4y) | ||
| Lucas Robert Carter | Registered representative | Mar 2022 (4y) | ||
| Adam Scott Tatar | Registered representative | Mar 2022 (4y) | ||
| Jeffery Coda | Registered representative | Apr 2022 (4y) | ||
| John Robert Stoll | Registered representative | Apr 2022 (4y) | ||
| Danielle Nicole Wright | Registered representative | Apr 2022 (4y) | ||
| Grace Olivia Fletcher | Registered representative | Apr 2022 (4y) | ||
| Patrick Noskey | Registered representative | Apr 2022 (4y) | ||
| Edward Joseph Zegers | Registered representative | CFP | May 2022 (4y) | |
| Andrew C Corral | Registered representative | May 2022 (4y) | ||
| Trevor Bauman | Registered representative | May 2022 (4y) | ||
| Jacqueline T Mc Ginley | Registered representative | May 2022 (4y) | ||
| Nicholas Gallucci | Registered representative | May 2022 (4y) | ||
| Paul Leonard Clickman | Registered representative | May 2022 (4y) | ||
| Adam Christopher Lorch | Registered representative | Jun 2022 (4y) | ||
| Meghan Ocarroll | Registered representative | Jun 2022 (4y) | ||
| Matthew James Mc Cann | Registered representative | Jun 2022 (4y) | ||
| Afsana Shahid | Registered representative | Jul 2022 (4y) | ||
| Sean Patrick Buff | Registered representative | Jul 2022 (4y) | ||
| Kaitlyn Anne Vadell | Registered representative | Jul 2022 (4y) | ||
| Michael Jacob Miorin | Registered representative | Jul 2022 (4y) | ||
| Jess Taylor Esposito | Registered representative | Jul 2022 (4y) | ||
| Samantha Dillon | Registered representative | Jul 2022 (4y) | ||
| Bryce Morgan Bockin | Registered representative | Jul 2022 (4y) | ||
| Joseph Louis Stasko | Registered representative | Aug 2022 (4y) | ||
| Peter James Kalil | Registered representative | Aug 2022 (4y) | ||
| Dev Sandipkumar Patel | Registered representative | Aug 2022 (4y) | ||
| Michael Matthew Barry | Registered representative | Sep 2022 (4y) | ||
| Ryan Michael Stockbauer | Registered representative | Sep 2022 (4y) | ||
| Victor Manuel Gonzalez | Registered representative | Sep 2022 (4y) | ||
| Brianna Schneider | Registered representative | Sep 2022 (4y) | ||
| Jackson Craig Andres | Registered representative | Sep 2022 (4y) | ||
| Julia Donita Larson | Registered representative | Sep 2022 (4y) | ||
| Jose Daniel Gentili Baldomar | Registered representative | Sep 2022 (4y) | ||
| Luigi R Gazzillo | Registered representative | Sep 2022 (4y) | ||
| Ryan Davis Finnegan | Registered representative | Sep 2022 (4y) | ||
| Zachary Michael Bargar | Registered representative | Sep 2022 (4y) | ||
| James Henry Barnes | Registered representative | Sep 2022 (4y) | ||
| Jordan Kane | Registered representative | Sep 2022 (4y) | ||
| Matthew Boehm Wechsler | Registered representative | Sep 2022 (4y) | ||
| Jacob Schultz | Registered representative | Sep 2022 (4y) | ||
| Maria Kaldas | Registered representative | Sep 2022 (4y) | ||
| Amanda Grace Sims | Registered representative | Sep 2022 (4y) | ||
| Dylan James Vertner | Registered representative | Sep 2022 (4y) | ||
| Maxwell Scott Thompson | Registered representative | Sep 2022 (4y) | ||
| Camden Nicholas Ratcliffe | Registered representative | Oct 2022 (4y) | ||
| Jake Mossing | Registered representative | Oct 2022 (4y) | ||
| Samuel Dennis Statham | Registered representative | Oct 2022 (4y) | ||
| Quinton Rose | Registered representative | Oct 2022 (4y) | ||
| Jennah Santiago | Registered representative | Oct 2022 (4y) | ||
| Jackson Bonner Davis | Registered representative | Oct 2022 (4y) | ||
| Austin Thomas Phillips | Registered representative | Oct 2022 (4y) | ||
| David Allen Taylor | Registered representative | Oct 2022 (4y) | ||
| Ethan Lev Glickfield | Registered representative | Oct 2022 (4y) | ||
| Savita Govind | Registered representative | Nov 2022 (4y) | ||
| Aakanksha Sharma | Registered representative | Nov 2022 (4y) | ||
| Adriana Jovsic | Registered representative | Nov 2022 (4y) | ||
| Alec Hoffman Mc Eachern | Registered representative | Nov 2022 (4y) | ||
| Asia Cesa | Registered representative | Dec 2022 (4y) | ||
| Matthew A Tebaldi | Registered representative | Jan 2023 (4y) | ||
| Michelle Le Nguyen | Registered representative | Jan 2023 (4y) | ||
| Hudson Truitt Roe | Registered representative | Jan 2023 (4y) | ||
| Maxwell R Folster | Registered representative | Jan 2023 (4y) | ||
| James M Taravella | Registered representative | CFP | Jan 2023 (4y) | |
| Stephen Frank Pinckney | Registered representative | Jan 2023 (4y) | ||
| Kevyn Barnes | Registered representative | Feb 2023 (3y) | ||
| William Farnan | Registered representative | Feb 2023 (3y) | ||
| Miranda Jaclyn Josephson | Registered representative | Feb 2023 (3y) | ||
| Peter Thomas Kane | Registered representative | Feb 2023 (3y) | ||
| Aditya Digesh Vashi | Registered representative | Feb 2023 (3y) | ||
| Maria Jose J Blas Perez | Registered representative | Mar 2023 (3y) | ||
| Manqian Yang | Registered representative | Mar 2023 (3y) | ||
| Rohan Chacko Jacob | Registered representative | Mar 2023 (3y) | ||
| Pablo Sebastian Mogollon | Registered representative | Mar 2023 (3y) | ||
| Olanrewaju Isaac Shogbola | Registered representative | Mar 2023 (3y) | ||
| Travis Nigro | Registered representative | Mar 2023 (3y) | ||
| Connor Philip Brown | Registered representative | Apr 2023 (3y) | ||
| Bryce Pierson Brotherton | Registered representative | Apr 2023 (3y) | ||
| Amanda N Samudio | Registered representative | Apr 2023 (3y) | ||
| Jared Michael Smith | Registered representative | May 2023 (3y) | ||
| Sara Corbitt | Registered representative | May 2023 (3y) | ||
| Tanner Mees | Registered representative | May 2023 (3y) | ||
| Simmi Ping Yuk Yeung | Registered representative | May 2023 (3y) | ||
| Michael Matthew Goetze | Registered representative | Jun 2023 (3y) | ||
| Anthony James Yizze | Registered representative | Jul 2023 (3y) | ||
| Michael Lawrence Penna | Registered representative | Jul 2023 (3y) | ||
| David Ferris Hamlin | Registered representative | Aug 2023 (3y) | ||
| Hunter Christian Ager | Registered representative | Aug 2023 (3y) | ||
| Richard Samuel Parsons | Registered representative | Aug 2023 (3y) | ||
| Manolo Alvarez | Registered representative | Aug 2023 (3y) | ||
| Jake Alexander Amell | Registered representative | Aug 2023 (3y) | ||
| Abyssinia Vanterpool | Registered representative | Sep 2023 (3y) | ||
| Adam Daniel Block | Registered representative | Sep 2023 (3y) | ||
| Charles Kendall Wolff | Registered representative | Sep 2023 (3y) | ||
| Daniel Kempf | Registered representative | Sep 2023 (3y) | ||
| Gabrielle Lindenfeld | Registered representative | Sep 2023 (3y) | ||
| Ryan Lawrence Taylor | Registered representative | Sep 2023 (3y) | ||
| Andrew Christopher Montoya | Registered representative | Sep 2023 (3y) | ||
| Blake Joseph Maday | Registered representative | Sep 2023 (3y) | ||
| Caitlyn Alyssa Miller | Registered representative | Sep 2023 (3y) | ||
| Carson Eric Poulin | Registered representative | Sep 2023 (3y) | ||
| Garett Alexander Koch | Registered representative | Sep 2023 (3y) | ||
| Gianna Grace Minasian | Registered representative | Sep 2023 (3y) | ||
| Johnny Minh Nguyen | Registered representative | Sep 2023 (3y) | ||
| Mashaab Munaf | Registered representative | Sep 2023 (3y) | ||
| Matthew James Bates | Registered representative | Sep 2023 (3y) | ||
| Megan Grace Akers | Registered representative | Sep 2023 (3y) | ||
| Montgomery Kameichi Hamabe | Registered representative | Sep 2023 (3y) | ||
| Peter Gerhard Henkel | Registered representative | Sep 2023 (3y) | ||
| Scott Robert Nicholson | Registered representative | Sep 2023 (3y) | ||
| Titilayo Aishat Otukoya | Registered representative | Sep 2023 (3y) | ||
| Vanessa N Kabongo | Registered representative | Sep 2023 (3y) | ||
| Zachary Jason Bainbridge | Registered representative | Sep 2023 (3y) | ||
| Jacob Daniel Flood | Registered representative | Sep 2023 (3y) | ||
| Luke Frederick Walling | Registered representative | Sep 2023 (3y) | ||
| Christian Scott Schenkel | Registered representative | Sep 2023 (3y) | ||
| Julia Genevieve Conroy | Registered representative | Sep 2023 (3y) | ||
| Antonio Michael Cotugno | Registered representative | Sep 2023 (3y) | ||
| Lauren J Palacio | Registered representative | Sep 2023 (3y) | ||
| Hannah Jae Stamps | Registered representative | Sep 2023 (3y) | ||
| Maria Teresa Massi | Registered representative | Sep 2023 (3y) | ||
| Ryan Louis Richard Ostiguy | Registered representative | Sep 2023 (3y) | ||
| Alison Rose Boudreau | Registered representative | Sep 2023 (3y) | ||
| John Francis Cheney | Registered representative | Sep 2023 (3y) | ||
| Laura Lynn Care | Registered representative | Sep 2023 (3y) | ||
| Nivene Al Ibrahim | Registered representative | Sep 2023 (3y) | ||
| Tiffany Grace Grooms | Registered representative | Sep 2023 (3y) | ||
| Michael B Jawitz | Registered representative | Oct 2023 (3y) | ||
| Lauren Victoria Moskowitz | Registered representative | Oct 2023 (3y) | ||
| Ethan Patrick Dawson | Registered representative | Oct 2023 (3y) | ||
| Drew Alexander Steele | Registered representative | Oct 2023 (3y) | ||
| Hanxi Li | Registered representative | Oct 2023 (3y) | ||
| Brandon Richard Bishop | Registered representative | CFP | Oct 2023 (3y) | |
| Christopher Ward West | Registered representative | Oct 2023 (3y) | ||
| Donald Lewis | Registered representative | Oct 2023 (3y) | ||
| Mason Gillan | Registered representative | Oct 2023 (3y) | ||
| Parker Robert Stone | Registered representative | Oct 2023 (3y) | ||
| Scott Christopher Bullock | Registered representative | Oct 2023 (3y) | ||
| Sean Michael Ryan | Registered representative | Oct 2023 (3y) | ||
| Stephen Andrew Taylor | Registered representative | Oct 2023 (3y) | ||
| Stephen Japowicz | Registered representative | Oct 2023 (3y) | ||
| Stephen Michael Snapp | Registered representative | Oct 2023 (3y) | ||
| Vincent Michael Rendine | Registered representative | CFP | Oct 2023 (3y) | |
| William J Tran | Registered representative | Oct 2023 (3y) | ||
| Eric E Maya | Registered representative | Oct 2023 (3y) | ||
| Jane Veronica Desmond | Registered representative | Oct 2023 (3y) | ||
| Nafissa Bounia Yahaya | Registered representative | Oct 2023 (3y) | ||
| Tyler West Vernieu | Registered representative | Oct 2023 (3y) | ||
| Jennifer Rose Huisking | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Lukas Jack Moller | Registered representative | Oct 2023 (3y) | ||
| Ashley Robert Schexnaildre | Registered representative | Nov 2023 (3y) | ||
| Cassandra C Fullilove | Registered representative | Nov 2023 (3y) | ||
| Daniel Roger Brennan | Registered representative | Nov 2023 (3y) | ||
| Michael Shane Sullivan | Registered representative | CFP | Nov 2023 (3y) | |
| Rene Jose Lopezvictoria | Registered representative | Nov 2023 (3y) | ||
| Richard Blake Pearce | Registered representative | CFP | Nov 2023 (3y) | |
| Hannah Gloria Aronowitz | Registered representative | Nov 2023 (3y) | ||
| Emma Hazel Cramm | Registered representative | CFP | Nov 2023 (3y) | |
| Rebecca Mae Hill | Registered representative | Nov 2023 (3y) | ||
| Kexin Yang | Registered representative | Nov 2023 (3y) | ||
| Christopher Clayton Cavazos | Registered representative | Nov 2023 (3y) | ||
| Edward Geoghan O Connor | Registered representative | Nov 2023 (3y) | ||
| Immanuel Yong Zhong Tan | Registered representative | Nov 2023 (3y) | ||
| John Fredette | Registered representative | Nov 2023 (3y) | ||
| Paul A Mainello | Registered representative | Nov 2023 (3y) | ||
| Aaron C Difiore | Registered representative | Nov 2023 (3y) | ||
| Justin J Gradolf | Registered representative | Nov 2023 (3y) | ||
| Kerly Leandra Chirinos | Registered representative | Nov 2023 (3y) | ||
| Robert Michael Rogers | Registered representative | Nov 2023 (3y) | ||
| Colleen C Felske | Registered representative | Nov 2023 (3y) | ||
| Aminatou Bah | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Alan Conn | Registered representative | Nov 2023 (3y) | ||
| Chrisos Papavasiliou | Registered representative | Dec 2023 (3y) | ||
| Kara Deweese | Registered representative | Dec 2023 (3y) | ||
| Lisa Margaret Dygon | Registered representative | Dec 2023 (3y) | ||
| Timothy Jay Humphries | Registered representative | CFA | Jan 2024 (3y) | |
| Qheliswa Bonga Simelane | Registered representative | Jan 2024 (3y) | ||
| Sondos Elhabbal | Registered representative | Jan 2024 (3y) | ||
| Van Lallian Mang | Registered representative | Jan 2024 (3y) | ||
| Anqi Yang | Registered representative | Jan 2024 (3y) | ||
| Kelly Michael Donnoe | Registered representative | Jan 2024 (3y) | ||
| Soraya Cheyenne Sartipi | Registered representative | Jan 2024 (3y) | ||
| William Edward Pasko | Registered representative | Jan 2024 (3y) | ||
| Kevin Patrick Breen | Registered representative | CFA | Feb 2024 (2y) | |
| Bibhu Chapagain | Registered representative | Feb 2024 (2y) | ||
| Alp Yener Gundes | Registered representative | Feb 2024 (2y) | ||
| Lucas Daniel Jean Marie | Registered representative | Feb 2024 (2y) | ||
| Andrew Taylor Allen | Registered representative | Feb 2024 (2y) | ||
| Stephanie Rondon | Registered representative | Mar 2024 (2y) | ||
| Samuel Michael Harris | Registered representative | Mar 2024 (2y) | ||
| Sheridan James Dillon | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Dorothy Otoole | Registered representative | Mar 2024 (2y) | ||
| Spencer J Ryczek | Registered representative | Mar 2024 (2y) | ||
| Vicki Linh Chriszt | Registered representative | Mar 2024 (2y) | ||
| Luke Porter Roe | Registered representative | Mar 2024 (2y) | ||
| Philip Alan Geleta | Registered representative | Mar 2024 (2y) | ||
| Sofia Maricevic | Registered representative | Mar 2024 (2y) | ||
| John Charles Kilgallon | Registered representative | Apr 2024 (2y) | ||
| Teodora Imad Ibrahim | Registered representative | Apr 2024 (2y) | ||
| Madelyn Constance Murphy | Registered representative | Apr 2024 (2y) | ||
| Devon James Bateman | Registered representative | Apr 2024 (2y) | ||
| Laura Martinez | Registered representative | May 2024 (2y) | ||
| Sean James Gibbons | Registered representative | May 2024 (2y) | ||
| Theresa Celine Fitz Gibbon | Registered representative | May 2024 (2y) | ||
| Melissa Isabel Santoyo | Registered representative | May 2024 (2y) | ||
| Yuqing Zhao | Registered representative | May 2024 (2y) | ||
| Thomas Scott Coyle | Registered representative | Jun 2024 (2y) | ||
| Maria Elena Danakou | Registered representative | Jun 2024 (2y) | ||
| Oluwatunmise W Jinadu | Registered representative | Jun 2024 (2y) | ||
| Christopher Michael Carlsen | Registered representative | Jul 2024 (2y) | ||
| Carolyn Baxley Sanchez | Registered representative | Jul 2024 (2y) | ||
| Vishwas Singh | Registered representative | Jul 2024 (2y) | ||
| Brendan C Gaffney | Registered representative | Aug 2024 (2y) | ||
| Marie Anne Paul | Registered representative | Aug 2024 (2y) | ||
| Rudolph A Sarro | Registered representative | Aug 2024 (2y) | ||
| Melissa Guijarro Mayoral | Registered representative | Aug 2024 (2y) | ||
| Brandon Francis Shimoun | Registered representative | Aug 2024 (2y) | ||
| Christopher Michael Rivas | Registered representative | Sep 2024 (2y) | ||
| Eric William Mueller | Registered representative | Sep 2024 (2y) | ||
| Kyle Alexander Mc Carey | Registered representative | Sep 2024 (2y) | ||
| Krzysztof Marchlik | Registered representative | Sep 2024 (2y) | ||
| Sydney Marie Harley | Registered representative | Sep 2024 (2y) | ||
| Jack Santora | Registered representative | Sep 2024 (2y) | ||
| Aidan Patrick Mc Cann | Registered representative | Sep 2024 (2y) | ||
| Alex Richard Malanoski | Registered representative | Sep 2024 (2y) | ||
| Anna Chloe Kurzydlo | Registered representative | Sep 2024 (2y) | ||
| Austin Asher Kattenhorn | Registered representative | Sep 2024 (2y) | ||
| Faryal Rizvi Ahsan | Registered representative | Sep 2024 (2y) | ||
| Grant Powell Hawkins | Registered representative | Sep 2024 (2y) | ||
| Haden Robert Mc Keehan | Registered representative | Sep 2024 (2y) | ||
| Il Kyu Lee | Registered representative | Sep 2024 (2y) | ||
| Jose Nicolas Iturregui Fuertes | Registered representative | Sep 2024 (2y) | ||
| Joan E Banks | Registered representative | Sep 2024 (2y) | ||
| Meya Chaylse Myrick | Registered representative | Sep 2024 (2y) | ||
| Mikela Louise Ryan | Registered representative | Sep 2024 (2y) | ||
| Nathan David Mynatt | Registered representative | Sep 2024 (2y) | ||
| Nathan Herrera | Registered representative | Sep 2024 (2y) | ||
| Nickolas Joseph Cammarene | Registered representative | Sep 2024 (2y) | ||
| Noah Christopher Eakin | Registered representative | Sep 2024 (2y) | ||
| Olivia Danielle Anastasy | Registered representative | Sep 2024 (2y) | ||
| Quinn Margaret Hamilton | Registered representative | Sep 2024 (2y) | ||
| Runmeng Wu | Registered representative | Sep 2024 (2y) | ||
| Ryan Wells Coughlin | Registered representative | Sep 2024 (2y) | ||
| Sarah Grace Mc Kay | Registered representative | Sep 2024 (2y) | ||
| Saunders Elizabeth Carlson | Registered representative | Sep 2024 (2y) | ||
| Sean Thomas O Toole | Registered representative | Sep 2024 (2y) | ||
| Thomas Patrick Landers | Registered representative | Sep 2024 (2y) | ||
| Chloe Rose Green | Registered representative | Sep 2024 (2y) | ||
| Fredy Molfino De La Jara | Registered representative | Sep 2024 (2y) | ||
| Grace Rita Lyons | Registered representative | Sep 2024 (2y) | ||
| Spencer Brand Scott | Registered representative | Sep 2024 (2y) | ||
| Tyler Winston Street | Registered representative | Sep 2024 (2y) | ||
| Brandon Raymond Karam | Registered representative | Sep 2024 (2y) | ||
| Jackson Thomas Barnes | Registered representative | Sep 2024 (2y) | ||
| Brady J Gockel | Registered representative | Sep 2024 (2y) | ||
| Jenna Ann Fazzone | Registered representative | Sep 2024 (2y) | ||
| Malcolm Monroe Jett | Registered representative | Oct 2024 (2y) | ||
| Owen Samuel Brown | Registered representative | Oct 2024 (2y) | ||
| Smridhi Sharma | Registered representative | Oct 2024 (2y) | ||
| Thomas William Zimmerman | Registered representative | Oct 2024 (2y) | ||
| Donal Tiarnan O Rourke | Registered representative | Oct 2024 (2y) | ||
| William H Jordan | Registered representative | Oct 2024 (2y) | ||
| Anastasiia Toussaint | Registered representative | Oct 2024 (2y) | ||
| Hudson Easterling Good | Registered representative | Oct 2024 (2y) | ||
| Sarah Elizabeth Mc Laughlin | Registered representative | Oct 2024 (2y) | ||
| Michael Adam Bemoras | Registered representative | Oct 2024 (2y) | ||
| Clark Richards Woodruff | Registered representative | Oct 2024 (2y) | ||
| Daniel Stewart Schramm | Registered representative | Oct 2024 (2y) | ||
| Rohan Samir Jani | Registered representative | Oct 2024 (2y) | ||
| Sean Patrick Featherstone | Registered representative | Oct 2024 (2y) | ||
| Carlos Andres Navarro | Registered representative | Oct 2024 (2y) | ||
| Courtney Scott Kerester | Registered representative | Oct 2024 (2y) | ||
| Lauren Frances Lingle | Registered representative | Oct 2024 (2y) | ||
| Paige Marlee Tulenko | Registered representative | Oct 2024 (2y) | ||
| Ruthwick Reddy Guddeti | Registered representative | Oct 2024 (2y) | ||
| Thabo Bakhuluma Ncube | Registered representative | Oct 2024 (2y) | ||
| Dhruv Pritesh Patel | Registered representative | Oct 2024 (2y) | ||
| Alexandra Tasev | Registered representative | Oct 2024 (2y) | ||
| Christian Matthew Guyette | Registered representative | Oct 2024 (2y) | ||
| Erin Brooke Williams | Registered representative | Oct 2024 (2y) | ||
| Nishtha Agarwal | Registered representative | Oct 2024 (2y) | ||
| Michael Fleming Fritz | Registered representative | Nov 2024 (2y) | ||
| Marissa Lynn Mehling | Registered representative | Nov 2024 (2y) | ||
| Mahbub Rahman Jahid | Registered representative | Nov 2024 (2y) | ||
| Stefana Stan | Registered representative | Nov 2024 (2y) | ||
| Audie Murphy | Registered representative | Nov 2024 (2y) | ||
| Patrick E Mc Donald | Registered representative | Nov 2024 (2y) | ||
| James Pulver | Registered representative | Dec 2024 (2y) | ||
| Zachary Robert Evans | Registered representative | Dec 2024 (2y) | ||
| Anabelle Nina Phillips | Registered representative | Dec 2024 (2y) | ||
| Shivansh Waleacha | Registered representative | Dec 2024 (2y) | ||
| Sofia Raquel Agredo | Registered representative | Dec 2024 (2y) | ||
| Trevar Richard Brown | Registered representative | Jan 2025 (2y) | ||
| Abby Rose Stinton | Registered representative | Jan 2025 (2y) | ||
| Jules Jren Chun Yang | Registered representative | Jan 2025 (2y) | ||
| Alexa Jae Winograd | Registered representative | Jan 2025 (2y) | ||
| Natalia Bartolone | Registered representative | Jan 2025 (2y) | ||
| John Ragozzino | Registered representative | Feb 2025 (1y) | ||
| Timothy Cristian Schmidt | Registered representative | Mar 2025 (1y) | ||
| Maria I Ferragonio | Registered representative | Mar 2025 (1y) | ||
| Ethan David Shack | Registered representative | Mar 2025 (1y) | ||
| Liam Michael Mc Donough | Registered representative | Mar 2025 (1y) | ||
| Lila Grace Prevost | Registered representative | Mar 2025 (1y) | ||
| Sophie Marie Kempf | Registered representative | Mar 2025 (1y) | ||
| Angelo G Fodera | Registered representative | Mar 2025 (1y) | ||
| Hyungjun Kim | Registered representative | Mar 2025 (1y) | ||
| Lucia Na Mwanzia | Registered representative | Mar 2025 (1y) | ||
| John Roberts Raymond | Registered representative | Mar 2025 (1y) | ||
| Shravan Pratheesh | Registered representative | Mar 2025 (1y) | ||
| Jadon Jones | Registered representative | Mar 2025 (1y) | ||
| Daniel Gregory Helms | Registered representative | Apr 2025 (1y) | ||
| Isabella L Spadinger | Registered representative | Apr 2025 (1y) | ||
| Kevin John Mc Devitt | Registered representative | CFA | Apr 2025 (1y) | |
| Ryan Charles Carroll | Registered representative | Apr 2025 (1y) | ||
| Sophia May De Luca | Registered representative | Apr 2025 (1y) | ||
| Erika Ann Horn | Registered representative | Apr 2025 (1y) | ||
| John Christian Luttmann | Registered representative | May 2025 (1y) | ||
| Samantha Joy Goldmann | Registered representative | May 2025 (1y) | ||
| Mike Angel Pecaj | Registered representative | May 2025 (1y) | ||
| Brandon Tort | Registered representative | May 2025 (1y) | ||
| Ryan D Molesworth | Registered representative | May 2025 (1y) | ||
| Adam Carll | Registered representative | CFA | May 2025 (1y) | |
| Charles Burnham Fry | Registered representative | May 2025 (1y) | ||
| Krista H Li | Registered representative | May 2025 (1y) | ||
| Christopher Lisle Atwell | Registered representative | CFA | Jun 2025 (1y) | |
| Anh Thu Elaine Damiani | Registered representative | Jul 2025 (1y) | ||
| Callum Peter Abernethy | Registered representative | Jul 2025 (1y) | ||
| Joseph G Colianni | Registered representative | Jul 2025 (1y) | ||
| Shayn Richard Foley | Registered representative | Jul 2025 (1y) | ||
| Scott Richard Ferguson | Registered representative | Jul 2025 (1y) | ||
| Max Hervey Koen | Registered representative | Jul 2025 (1y) | ||
| Deny Paul | Registered representative | Jul 2025 (1y) | ||
| Gabriella Henry | Registered representative | Jul 2025 (1y) | ||
| Scott Daniel Ferris | Registered representative | Jul 2025 (1y) | ||
| Marc Depasquale | Registered representative | Jul 2025 (1y) | ||
| Nicholas Parnell | Registered representative | Jul 2025 (1y) | ||
| Breidy Antonio Siminiel | Registered representative | Aug 2025 (1y) | ||
| Elizabeth Margaret Bell | Registered representative | Aug 2025 (1y) | ||
| Nathan Grant Neville | Registered representative | Aug 2025 (1y) | ||
| Sarah Elizabeth Polzello | Registered representative | Aug 2025 (1y) | ||
| Edward Arnold Offutt | Registered representative | Aug 2025 (1y) | ||
| Alexander I Bogdanov | Registered representative | Aug 2025 (1y) | ||
| Yuan Yao | Registered representative | Aug 2025 (1y) | ||
| Nidhi Chetanbhai Patel | Registered representative | Aug 2025 (1y) | ||
| Brady Hanson | Registered representative | Aug 2025 (1y) | ||
| Cameron Todd Blann | Registered representative | Aug 2025 (1y) | ||
| Tong Zheng | Registered representative | Aug 2025 (1y) | ||
| Nicholas David Dicostanzo | Registered representative | Aug 2025 (1y) | ||
| Thomas Francis Mccarty | Registered representative | Aug 2025 (1y) | ||
| Collin Michael Croskery | Registered representative | Sep 2025 (1y) | ||
| Matthew Hilary Speidel | Registered representative | Sep 2025 (1y) | ||
| Zane Lucas Drobenko | Registered representative | Sep 2025 (1y) | ||
| Tatyana Sokolova | Registered representative | Sep 2025 (1y) | ||
| Aidan Robert Baris | Registered representative | Sep 2025 (1y) | ||
| Pierce Domingos Enxuto | Registered representative | Sep 2025 (1y) | ||
| Sierra Grace Barry | Registered representative | Sep 2025 (1y) | ||
| Collin Bradley O Neill | Registered representative | Sep 2025 (1y) | ||
| Edward Mason Wanzenried | Registered representative | Sep 2025 (1y) | ||
| Madison Paige Barbato Lopes | Registered representative | Sep 2025 (1y) | ||
| Kyla Archie | Registered representative | Sep 2025 (1y) | ||
| Madeline Ames | Registered representative | Sep 2025 (1y) | ||
| Samuel David Wein | Registered representative | Sep 2025 (1y) | ||
| Nicole Alyssa Davis | Registered representative | Sep 2025 (1y) | ||
| Rebecca Anna Karpel | Registered representative | Sep 2025 (1y) | ||
| Sarah Madison Dudley | Registered representative | Sep 2025 (1y) | ||
| Addison Blair Hughes | Registered representative | Sep 2025 (1y) | ||
| Aleena Shamshuddin Ajani | Registered representative | Sep 2025 (1y) | ||
| Andrew Brandon Rosen | Registered representative | Sep 2025 (1y) | ||
| Anna Maria Sanchez | Registered representative | Sep 2025 (1y) | ||
| Avery Cole Daggett | Registered representative | Sep 2025 (1y) | ||
| Benjamin Ryan Ashbaugh | Registered representative | Sep 2025 (1y) | ||
| Carlie Madison Dobrinsky | Registered representative | Sep 2025 (1y) | ||
| Carter Douglas Watson | Registered representative | Sep 2025 (1y) | ||
| Ebenezer Kwow Thompson | Registered representative | Sep 2025 (1y) | ||
| Edie Brynn Schaffer | Registered representative | Sep 2025 (1y) | ||
| Elaine Garcia | Registered representative | Sep 2025 (1y) | ||
| Grainne Catherine D Arcy | Registered representative | Sep 2025 (1y) | ||
| Jesse Ethan Castillo | Registered representative | Sep 2025 (1y) | ||
| Jolene Watipaso Harawa | Registered representative | Sep 2025 (1y) | ||
| Juhi Bhuwalka | Registered representative | Sep 2025 (1y) | ||
| Kyle Noah Ellenbogen | Registered representative | Sep 2025 (1y) | ||
| Lilly S Adelstein | Registered representative | Sep 2025 (1y) | ||
| Madison Veronica Deak | Registered representative | Sep 2025 (1y) | ||
| Manideep Sai Bommakanti | Registered representative | Sep 2025 (1y) | ||
| Natalia Joanne Kuchinic | Registered representative | Sep 2025 (1y) | ||
| Nicholas Anthony Tan | Registered representative | Sep 2025 (1y) | ||
| Nicholas Michael Fronczak | Registered representative | Sep 2025 (1y) | ||
| Patrick Peter Breidsprecher | Registered representative | Sep 2025 (1y) | ||
| Ross Matthew Caimano | Registered representative | Sep 2025 (1y) | ||
| Ryan Christopher Barlow | Registered representative | Sep 2025 (1y) | ||
| Sarah Monserratt Quarles | Registered representative | Sep 2025 (1y) | ||
| Sean William Lakey | Registered representative | Sep 2025 (1y) | ||
| Trifol Josiah Headman | Registered representative | Sep 2025 (1y) | ||
| Troy Tyrone Jackson | Registered representative | Sep 2025 (1y) | ||
| Virginia Jane Morrow | Registered representative | Sep 2025 (1y) | ||
| Alexander Louis Applegate | Registered representative | Sep 2025 (1y) | ||
| Dana Gour | Registered representative | Sep 2025 (1y) | ||
| Kathryn Anna Dougherty | Registered representative | Sep 2025 (1y) | ||
| Matthew Richard Farago | Registered representative | Sep 2025 (1y) | ||
| Cole Steven Arendsen | Registered representative | Sep 2025 (1y) | ||
| Emma Olivia Kramer | Registered representative | Sep 2025 (1y) | ||
| Jasmine Nicole Reyes | Registered representative | Sep 2025 (1y) | ||
| Jia Tong Li | Registered representative | Sep 2025 (1y) | ||
| Joseph Norman Buscema | Registered representative | Sep 2025 (1y) | ||
| Mia Carol Politano | Registered representative | Sep 2025 (1y) | ||
| Mariam Sargsyan | Registered representative | Sep 2025 (1y) | ||
| Gayane Elaine Toukhanian | Registered representative | Sep 2025 (1y) | ||
| Matthew Robert Felske | Registered representative | Sep 2025 (1y) | ||
| Mark Joseph Delucia | Registered representative | Oct 2025 (1y) | ||
| Alexander Brent Bzdell | Registered representative | Oct 2025 (1y) | ||
| Rithika R Katpally | Registered representative | Oct 2025 (1y) | ||
| Brooke Lilly Wallace | Registered representative | Oct 2025 (1y) | ||
| James J Halley | Registered representative | Oct 2025 (1y) | ||
| Thomas Steven Sevastianos | Registered representative | Oct 2025 (1y) | ||
| Vanessa Lillian Jones | Registered representative | Oct 2025 (1y) | ||
| Shane Michael Ellis | Registered representative | Oct 2025 (1y) | ||
| Taylor Nicole Hernet | Registered representative | Oct 2025 (1y) | ||
| Ryan Thomas Mc Kenna | Registered representative | Oct 2025 (1y) | ||
| Kiera N Davis | Registered representative | Oct 2025 (1y) | ||
| Shannon Alexandra Traylor | Registered representative | Oct 2025 (1y) | ||
| Emily Ferrero | Registered representative | Oct 2025 (1y) | ||
| Colin James Giombetti | Registered representative | Oct 2025 (1y) | ||
| William Sebastian Farkas | Registered representative | Oct 2025 (1y) | ||
| Christian Valdez | Registered representative | Oct 2025 (1y) | ||
| Kylie Elizabeth Liggett | Registered representative | Oct 2025 (1y) | ||
| Maryam Haddad Salleg | Registered representative | Oct 2025 (1y) | ||
| Stephanie Marie Parente | Registered representative | Oct 2025 (1y) | ||
| Isha Menon | Registered representative | Oct 2025 (1y) | ||
| Maria Grace Beisser | Registered representative | Oct 2025 (1y) | ||
| Molly Catherine Mohajir | Registered representative | Oct 2025 (1y) | ||
| Elena Mc Lean Telesco | Registered representative | Oct 2025 (1y) | ||
| Emily Rose Adams | Registered representative | Oct 2025 (1y) | ||
| Mekiah Jaden Rivera | Registered representative | Oct 2025 (1y) | ||
| Natalie Marie Williams | Registered representative | Oct 2025 (1y) | ||
| Samuel Joseph Tanny | Registered representative | Oct 2025 (1y) | ||
| Corban Davis Quarles | Registered representative | Oct 2025 (1y) | ||
| Heather Gail Farris | Registered representative | Oct 2025 (1y) | ||
| Sarah Manuela Locher | Registered representative | Oct 2025 (1y) | ||
| Jose Agustin Rubio Marquez | Registered representative | Oct 2025 (1y) | ||
| Jared Andrew Malinowski | Registered representative | Oct 2025 (1y) | ||
| Karyn Marie Senne | Registered representative | Oct 2025 (1y) | ||
| Aashka Dasgupta | Registered representative | Oct 2025 (1y) | ||
| Tatiana Naomi Howell | Registered representative | Nov 2025 (1y) | ||
| Shiv Raizada | Registered representative | Nov 2025 (1y) | ||
| Abigail R Gonzalez | Registered representative | Nov 2025 (1y) | ||
| Shelton Mudzingwa | Registered representative | Nov 2025 (1y) | ||
| Andres J Munoz Lavin | Registered representative | Nov 2025 (1y) | ||
| Riya Dhall | Registered representative | Nov 2025 (1y) | ||
| Danielle Patricia Dunne | Registered representative | Nov 2025 (1y) | ||
| Faye Dany Abou Nafeh | Registered representative | Nov 2025 (1y) | ||
| Ainsley Alina Hutchison | Registered representative | Nov 2025 (1y) | ||
| Jacob Daniel Risavi | Registered representative | Nov 2025 (1y) | ||
| Mariam Samara Blanco Paz | Registered representative | Nov 2025 (1y) | ||
| Ryan Michael Madonna | Registered representative | Nov 2025 (1y) | ||
| Julian Louis Manzano | Registered representative | Nov 2025 (1y) | ||
| Benjamin Peter Wicks | Registered representative | Dec 2025 (1y) | ||
| Clare Dolan | Registered representative | Dec 2025 (1y) | ||
| Casey Spraberry | Registered representative | Jan 2026 (1y) | ||
| Andrew Jonathon Shires | Registered representative | Jan 2026 (1y) | ||
| Jessica Rose Pehush | Registered representative | Jan 2026 (1y) | ||
| Sarrah Lauren Schreffler | Registered representative | Jan 2026 (1y) | ||
| Adrian David Bryant | Registered representative | Jan 2026 (1y) | ||
| Truell Marvis Williams | Registered representative | Jan 2026 (1y) | ||
| Alyssa Jordan Benton | Registered representative | Jan 2026 (1y) | ||
| Edward Nathaniel Henry | Registered representative | Jan 2026 (1y) | ||
| Sean Philippe Oriotis | Registered representative | Jan 2026 (1y) | ||
| John Robert Percival | Registered representative | Feb 2026 (0y) | ||
| Karen Mothkovich | Registered representative | Feb 2026 (0y) | ||
| Dylan Douglas Mc Donald | Registered representative | Feb 2026 (0y) | ||
| Nolan Michael Godek | Registered representative | Feb 2026 (0y) | ||
| Brandon Preston Mahoney | Registered representative | Feb 2026 (0y) | ||
| Quinn P Shaw | Registered representative | Feb 2026 (0y) | ||
| Francis Joseph Fazio | Registered representative | CFP | Feb 2026 (0y) | |
| Alexander Mauricio Douma | Registered representative | Mar 2026 (0y) | ||
| Caleb Edward Patterson | Registered representative | Mar 2026 (0y) | ||
| Maximiliano G Briones | Registered representative | Mar 2026 (0y) | ||
| Thomas Vincent Conigliaro | Registered representative | CFA | Mar 2026 (0y) | |
| Arinola Afolabi | Registered representative | Mar 2026 (0y) | ||
| Nicholas Robert Hruskoci | Registered representative | Mar 2026 (0y) | ||
| Nicholas Christopher Lemire | Registered representative | Mar 2026 (0y) | ||
| Varunavi Shukla | Registered representative | Mar 2026 (0y) | ||
| William Gregory Lanzoni | Registered representative | Mar 2026 (0y) | ||
| Adam Jonathan Boese | Registered representative | Mar 2026 (0y) | ||
| Dove Asher De Vriess Lepson | Registered representative | Mar 2026 (0y) | ||
| Andrew Karl Schnitzer | Registered representative | Mar 2026 (0y) | ||
| Chandler James Rauch | Registered representative | Mar 2026 (0y) | ||
| Delaney Lydmar Alejandro Negron | Registered representative | Mar 2026 (0y) | ||
| Kevin Thomas Fryc | Registered representative | Mar 2026 (0y) | ||
| Pasquale Angelo Razzano | Registered representative | Mar 2026 (0y) | ||
| Payton H Armstrong | Registered representative | Mar 2026 (0y) | ||
| Francis Mulligan | Registered representative | Mar 2026 (0y) | ||
| Abdoulali Ibrahim Jirani | Registered representative | Apr 2026 (0y) | ||
| Vishaan Shetty | Registered representative | Apr 2026 (0y) | ||
| Dre'ameerha Zhanae Walker | Registered representative | Apr 2026 (0y) | ||
| Rohit Ahuja | Registered representative | Apr 2026 (0y) | ||
| Patrick J Burke | Registered representative | Apr 2026 (0y) | ||
| Jaylana Ogresevic | Registered representative | Apr 2026 (0y) | ||
| Jeffrey G Katz | Registered representative | Apr 2026 (0y) | ||
| Katherine Marie King | Registered representative | May 2026 (0y) | ||
| Brody Ivan Dorsh | Registered representative | May 2026 (0y) | ||
| Caroline Chyles Dean | Registered representative | May 2026 (0y) | ||
| Joseph Thomas Lopez | Registered representative | May 2026 (0y) | ||
| Fnu Suolangcuo | Registered representative | May 2026 (0y) | ||
| Zoila G Chele | Registered representative | May 2026 (0y) | ||
| Sean M. Smith | Registered representative | May 2026 (0y) | ||
| Alexander Theurer Novak | Registered representative | May 2026 (0y) | ||
| Tanner Matthew Dydo | Registered representative | May 2026 (0y) | ||
| William F Sarro | Registered representative | Jun 2026 (0y) | ||
| Adam Ehab Innab | Registered representative | CFP | Jun 2026 (0y) | |
| Alexandra M Wirth | Registered representative | Jun 2026 (0y) | ||
| Haleh Homeh Behbahani | Registered representative | Jun 2026 (0y) | ||
| Momodou Mbenga | Registered representative | Jun 2026 (0y) | ||
| Max B Stupak | Registered representative | Jun 2026 (0y) | ||
| Remy Thomas Fields | Registered representative | Jun 2026 (0y) | ||
| Jacob Andrew Brown | Registered representative | Jul 2026 (0y) | ||
| Mengqi Chen | Registered representative | Jul 2026 (0y) | ||
| Christopher Rick Pasquarella | Registered representative | Jul 2026 (0y) | ||
| John Shortridge Werd | Registered representative | Jul 2026 (0y) | ||
| Noah Jonathan Grau | Registered representative | Jul 2026 (0y) | ||
| Austin Gregory Ralph Charriez | Registered representative | Jul 2026 (0y) | ||
| Justin William Smith | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Gs Ayco Holding Llc | Limited Partner | Jul 2003 | A | 75% or more |
| Saratoga Springs Llc | General Partner | Jul 2003 | A | Less than 5% |
| The Goldman Sachs Group, Inc. | Sole Member And Manager | Nov 2017 | B | ≈ 42.19% – 100% via Imd Holdings Llc |
| Gs Ayco Holding Llc | Sole Member And Manager | Jul 2003 | B | ≈ 0% – 5% via Saratoga Springs Llc |
| Imd Holdings Llc | Sole Member And Manager | Nov 2017 | B | ≈ 56.25% – 100% via Gs Ayco Holding Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- The Goldman Sachs Group, Inc.: 75% – 100% of Imd Holdings Llc × 75% – 100% of Gs Ayco Holding Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Gs Ayco Holding Llc: 75% – 100% of Saratoga Springs Llc × 0% – 5% direct ≈ 0% – 5% of the firm
- Imd Holdings Llc: 75% – 100% of Gs Ayco Holding Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/15/2026 | 4.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE") ALLEGED THAT, PRIOR TO SEPTEMBER 1, 2011, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") AND GOLDMAN SACHS BANK USA ("GS BANK") ENGAGED IN A PATTERN OF MISCONDUCT AND NEGLIGENCE RELATING TO DEFICIENT PRACTICES IN RESIDENTIAL MORTGAGE LOAN SERVICING AND FORECLOSURE PROCESSING INVOLVING LITTON LOAN SERVICING LP ("LITTON"), A FORMER SUBSIDIARY. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GS GROUP, GS BANK AND THE FEDERAL RESERVE ENTERED INTO THE AMENDED CONSENT, WHICH PROVIDES FOR GS GROUP AND GS BANK TO: (I) MAKE A CASH PAYMENT THAT COLLECTIVELY TOTALS $135 MILLION INTO A QUALIFIED SETTLEMENT FUND (THE "FUND") FROM WHICH PAYMENTS WILL BE MADE PURSUANT TO A DISTRIBUTION PLAN DEVELOPED BY THE FEDERAL RESERVE AND THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (COLLECTIVELY, THE "REGULATORS") FOR DISTRIBUTION BY THE REGULATORS IN THEIR DISCRETION TO CERTAIN ELIGIBLE BORROWERS WHOSE RESIDENTIAL MORTGAGE LOAN ON THEIR PRIMARY RESIDENCE WAS SERVICED BY GS BANK, THROUGH LITTON, AND WHO WERE SUBJECT TO A FORECLOSURE ACTION OR PROCEEDING THAT WAS PENDING OR COMPLETED ANY TIME FROM JANUARY 1, 2009 TO DECEMBER 31, 2010; AND (II) COLLECTIVELY PROVIDE CERTAIN LOSS MITIGATION OR OTHER FORECLOSURE PREVENTION THAT COLLECTIVELY TOTALS $195 MILLION, WITH PREFERENCE GIVEN TO ACTIVITIES DESIGNED TO KEEP BORROWERS IN THEIR HOMES THROUGH AFFORDABLE, SUSTAINABLE AND MEANINGFUL HOME PRESERVATION ACTIONS. ON MARCH 11, 2013, GS GROUP AND GS BANK MADE A CASH PAYMENT INTO THE FUND, AS PROVIDED IN THE AMENDED CONSENT, BY SUBMISSION OF A WIRE IN THE AMOUNT OF $135 MILLION. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GS GROUP, GS BANK AND THE FEDERAL RESERVE ENTERED INTO THE AMENDED CONSENT, WHICH PROVIDES FOR THE TERMINATION OF THE INDEPENDENT FORECLOSURE REVIEW UNDER THE CONSENT AND CALLS FOR GS GROUP AND GS BANK, IN COORDINATION WITH THE 12 OTHER FINANCIAL INSTITUTIONS WITH MORTGAGE LOAN SERVICING OPERATIONS THAT HAVE ALSO AGREED TO AMEND THEIR RESPECTIVE ORDERS, TO ENSURE THAT THE FUND IS ESTABLISHED, FROM WHICH PAYMENTS WILL BE MADE PURSUANT TO A DISTRIBUTION PLAN DEVELOPED BY THE REGULATORS. THE AMENDED CONSENT PROVIDES FOR GS GROUP AND GS BANK TO: (I) MAKE A CASH PAYMENT THAT COLLECTIVELY TOTALS $135 MILLION INTO THE FUND FOR DISTRIBUTION BY THE REGULATORS IN THEIR DISCRETION TO CERTAIN ELIGIBLE BORROWERS WHOSE RESIDENTIAL MORTGAGE LOAN ON THEIR PRIMARY RESIDENCE WAS SERVICED BY GS BANK, THROUGH LITTON, AND WHO WERE SUBJECT TO A FORECLOSURE ACTION OR PROCEEDING THAT WAS PENDING OR COMPLETED ANY TIME FROM JANUARY 1, 2009 TO DECEMBER 31, 2010; (II) COLLECTIVELY PROVIDE CERTAIN LOSS MITIGATION OR OTHER FORECLOSURE PREVENTION THAT COLLECTIVELY TOTALS $195 MILLION, WITH PREFERENCE GIVEN TO ACTIVITIES DESIGNED TO KEEP BORROWERS IN THEIR HOMES THROUGH AFFORDABLE, SUSTAINABLE AND MEANINGFUL HOME PRESERVATION ACTIONS; AND (III) AS APPLICABLE, SUBMIT POLICIES AND PROCEDURES ACCEPTABLE TO THE FEDERAL RESERVE AND SUBMIT CERTAIN REPORTS TO THE FEDERAL RESERVE WITHIN THE APPLICABLE TIME PERIODS SET FORTH IN THE AMENDED CONSENT. ON MARCH 11, 2013, GS GROUP AND GS BANK MADE A CASH PAYMENT INTO THE FUND, AS PROVIDED IN THE AMENDED CONSENT, BY SUBMISSION OF A WIRE IN THE AMOUNT OF $135 MILLION.
Allegations: THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") AND GOLDMAN SACHS BANK USA ("GS BANK") ENTERED INTO AN ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY ISSUED UPON CONSENT PURSUANT TO THE FEDERAL DEPOSIT INSURANCE ACT, AS AMENDED, WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE") ON JANUARY 12, 2018 (THE "CONSENT ASSESSMENT"). THE CONSENT ASSESSMENT RELATED TO ALLEGATIONS BY THE FEDERAL RESERVE THAT, PRIOR TO SEPTEMBER 1, 2011, GS GROUP AND GS BANK HAD ENGAGED IN DEFICIENT PRACTICES IN RESIDENTIAL MORTGAGE LOAN SERVICING AND FORECLOSURE PROCESSING INVOLVING LITTON LOAN SERVICING LP ("LITTON"), A FORMER SUBSIDIARY. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GS GROUP AND GS BANK HAD PREVIOUSLY ENTERED INTO A CONSENT ORDER WITH THE FEDERAL RESERVE RELATING TO THE SAME ALLEGED CONDUCT ON SEPTEMBER 1, 2011, AS AMENDED ON FEBRUARY 28, 2013 (THE "AMENDED CONSENT", WHICH IS REPORTED ON A SEPARATE DRP). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN T HE AMENDED CONSENT, GS GROUP, GS BANK AND THE FEDERAL RESERVE ENTERED INTO THE CONSENT ASSESSMENT, WHICH RELEASES AND DISCHARGES GS GROUP, GS BANK, AND THEIR AFFILIATES, SUCCESSORS, AND ASSIGNS FROM ALL POTENTIAL LIABILITY THAT HAS BEEN OR MIGHT HAVE BEEN ASSERTED BY THE FEDERAL RESERVE BASED ON THE CONDUCT THAT IS THE SUBJECT OF CONSENT ASSESSMENT OR THE AMENDED CONSENT, AND ASSESSES GS GROUP AND GS BANK A CIVIL MONEY PENALTY IN THE AMOUNT OF $14,000,000, WHICH WAS PAID BY SUBMISSION OF A WIRE ON JANUARY 12, 2018. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE AMENDED CONSENT, GS GROUP, GS BANK AND THE FEDERAL RESERVE ENTERED INTO THE CONSENT ASSESSMENT, WHICH RELEASES AND DISCHARGES GS GROUP, GS BANK, AND THEIR AFFILIATES, SUCCESSORS, AND ASSIGNS FROM ALL POTENTIAL LIABILITY THAT HAS BEEN OR MIGHT HAVE BEEN ASSERTED BY THE FEDERAL RESERVE BASED ON THE CONDUCT THAT IS THE SUBJECT OF CONSENT ASSESSMENT OR THE AMENDED CONSENT, AND ASSESSES GS GROUP AND GS BANK A CIVIL MONEY PENALTY IN THE AMOUNT OF $14,000,000, WHICH WAS PAID TO THE FEDERAL RESERVE BY SUBMISSION OF A WIRE ON JANUARY 12, 2018.
Allegations: THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE") HAS ALLEGED THAT: WHEREAS THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") SERVES AS A FOREIGN EXCHANGE ("FX") DEALER THROUGH CERTAIN OF ITS INDIRECT SUBSIDIARIES ("FX SUBSIDIARIES"), BY BUYING AND SELLING U.S. DOLLARS AND FOREIGN CURRENCY FOR THEIR OWN ACCOUNT AND BY SOLICITING AND RECEIVING ORDERS THROUGH COMMUNICATIONS BETWEEN CUSTOMERS AND SALES PERSONNEL THAT ARE EXECUTED ON THE SPOT MARKET ("COVERED FX ACTIVITIES"), FROM OCTOBER 2008 THROUGH OCTOBER 2012, GS GROUP AND CERTAIN SUBSIDIARIES (TOGETHER, THE "FIRM"): (A) LACKED ADEQUATE GOVERNANCE, COMPLIANCE RISK MANAGEMENT, COMPLIANCE AND/OR AUDIT POLICIES TO ENSURE THAT THE FX SUBSIDIARIES' COVERED FX ACTIVITIES COMPLIED WITH SAFE AND SOUND BANKING PRACTICES AND APPLICABLE INTERNAL POLICIES; AND (B) HAD DEFICIENT POLICIES AND PROCEDURES THAT PREVENTED IT FROM DETECTING AND ADDRESSING POTENTIALLY UNSOUND CONDUCT BY CERTAIN OF THE FX SUBSIDIARIES' FX TRADERS, AND AS A RESULT OF THE DEFICIENT POLICIES AND PROCEDURES, ENGAGED IN UNSAFE AND UNSOUND BANKING PRACTICES. Status: Final Sanction Detail: ON MAY 1, 2018, GS GROUP AND THE FEDERAL RESERVE ENTERED INTO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY ISSUED UPON CONSENT PURSUANT TO THE FEDERAL DEPOSIT INSURANCE ACT, AS AMENDED, WHICH ASSESSES THE FIRM A CIVIL MONETARY PENALTY IN THE AMOUNT OF $54,750,000, WHICH THE FIRM PAID TO THE FEDERAL RESERVE ON MAY 2, 2018. Summary: ON MAY 1, 2018, PRIOR TO THE FILING OF ANY NOTICES OF CHARGES, OR TAKING OF ANY TESTIMONY, OR ADJUDICATION OF OR FINDING ON ANY ISSUES OF FACT OR LAW HEREIN, AND SOLELY FOR THE PURPOSE OF SETTLEMENT OF THIS MATTER WITHOUT A FORMAL PROCEEDING BEING FILED AND WITHOUT THE NECESSITY FOR PROTRACTED OR EXTENDED HEARINGS OR TESTIMONY, GS GROUP AND THE FEDERAL RESERVE ENTERED INTO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY ISSUED UPON CONSENT PURSUANT TO THE FEDERAL DEPOSIT INSURANCE ACT, AS AMENDED (THE "CONSENT ORDER"), PURSUANT TO WHICH: (A) GS GROUP, AS APPLICABLE, SHALL SUBMIT TO THE FEDERAL RESERVE WITHIN THE APPLICABLE TIME PERIODS SET FORTH IN THE CONSENT ORDER, AN ENHANCED WRITTEN INTERNAL CONTROLS AND COMPLIANCE PROGRAM, COMPLIANCE RISK MANAGEMENT PROGRAM, CONTROLS REVIEW, AND INTERNAL AUDIT PROGRAM, EACH AS ACCEPTABLE TO THE FEDERAL RESERVE; (B) THE FIRM SHALL ADOPT AND IMPLEMENT THESE PROGRAMS AND SUBMIT PROGRESS REPORTS TO THE FEDERAL RESERVE; (C) THE FIRM SHALL NOT IN THE FUTURE DIRECTLY OR INDIRECTLY RETAIN ANY INDIVIDUAL AS AN OFFICER, EMPLOYEE, AGENT, CONSULTANT, OR CONTRACTOR OF THE FIRM OR ANY SUBSIDIARY OR ANY AFFILIATE THEREOF WHO HAS PARTICIPATED IN THE CONDUCT UNDERLYING THE CONSENT ORDER, BEEN SUBJECT TO A FORMAL DISCIPLINARY ACTION AS A RESULT OF THE FIRM'S INTERNAL DISCIPLINARY REVIEW OR PERFORMANCE REVIEW IN CONNECTION WITH THE CONDUCT DESCRIBED IN THE CONSENT ORDER AND SEPARATED FROM THE FIRM OR ANY SUBSIDIARY THEREOF OR HAD HIS OR HER EMPLOYMENT TERMINATED IN CONNECTION WITH THE CONDUCT DESCRIBED IN THE CONSENT ORDER; AND (D) THE FIRM PAID A CIVIL MONETARY PENALTY IN THE AMOUNT OF $54,750,000 ON MAY 2, 2018.
Allegations: THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "BOARD OF GOVERNORS") HAS ALLEGED THAT: (A) GOLDMAN, SACHS & CO. ("GSCO") AND THE GOLDMAN SACHS GROUP, INC., (TOGETHER WITH GSCO, THE "FIRM") FAILED TO MONITOR ELECTRONIC MAIL FOR DOCUMENTS CONTAINING CONFIDENTIAL SUPERVISORY INFORMATION; (B) FIRM EMPLOYEES, INCLUDING SENIOR MANAGERS, HAD CONFIDENTIAL SUPERVISORY INFORMATION OF THE BOARD OF GOVERNORS AND OTHER BANKING REGULATORS IN THEIR POSSESSION WITHOUT THE AUTHORIZATION REQUIRED BY LAW; (C) A FIRM EMPLOYEE ENGAGED IN CRIMINAL THEFT OF CONFIDENTIAL SUPERVISORY INFORMATION OF THE BOARD OF GOVERNORS AND OTHER BANKING REGULATORS,AND DISSEMINATED SUCH INFORMATION TO MULTIPLE EMPLOYEES WITHIN THE FIRM; (D) THE FIRM'S PERSONNEL IMPROPERLY USED CONFIDENTIAL SUPERVISORY INFORMATION, INCLUDING CONFIDENTIAL SUPERVISORY INFORMATION RELATING TO INSTITUTIONS OTHER THAN THE FIRM, OF THE BOARD OF GOVERNORS AND OTHER BANKING REGULATORS IN PRESENTATIONS TO ITS CLIENTS AND PROSPECTIVE CLIENTS IN AN EFFORT TO SOLICIT BUSINESS FOR THE FIRM; AND (E) THE FIRM LACKED ADEQUATE POLICIES AND PROCEDURES DESIGNED TO DETECT OR PREVENT THE UNAUTHORIZED DISSEMINATION AND USE OF CONFIDENTIAL SUPERVISORY INFORMATION BELONGING TO THE BOARD OF GOVERNORS AND OTHER BANKING REGULATORS. Status: Final Sanction Detail: THE CONSENT ORDER REQUIRED THE FIRM TO PAY A CIVIL MONETARY PENALTY TO THE BOARD OF GOVERNORS IN THE AMOUNT OF $36,300,000, WHICH THE FIRM PAID ON AUGUST 3, 2016. Summary: THE FIRM AND THE BOARD OF GOVERNORS ENTERED INTO A CONSENT ORDER TO CEASE AND DESIST AND ASSESSMENT OF CIVIL MONEY PENALTY ON AUGUST 2, 2016 (THE "CONSENT ORDER"), PURSUANT TO WHICH: (A) WITHIN 30 DAYS OF THE CONSENT ORDER, THE BOARD OF DIRECTORS OF THE FIRM SHALL APPOINT A COMMITTEE COMPRISED OF MEMBERS OF SENIOR MANAGEMENT TO MONITOR AND COORDINATE COMPLIANCE WITH THE PROVISIONS OF THE CONSENT ORDER, WHICH COMMITTEE SHALL MEET QUARTERLY, KEEP DETAILED MINUTES OF EACH MEETING, AND ANNUALLY SUBMIT TO THE BOARD OF GOVERNORS AND THE BOARD OF DIRECTORS OF THE FIRM WRITTEN PROGRESS REPORTS DETAILING THE FORM AND MANNER OF ALL ACTIONS TAKEN TO SECURE COMPLIANCE WITH THE CONSENT ORDER AND THE RESULTS THEREOF; (B) WITHIN 90 DAYS OF THE CONSENT ORDER, THE FIRM SHALL: (I) SUBMIT TO THE BOARD OF GOVERNORS A WRITTEN PLAN, AND TIMELINE FOR IMPLEMENTATION, TO ENHANCE THE EFFECTIVENESS OF THE INTERNAL CONTROLS AND COMPLIANCE FUNCTIONS REGARDING THE IDENTIFICATION, MONITORING, AND CONTROL OF CONFIDENTIAL SUPERVISORY INFORMATION, WHICH PLAN SHALL BE REVIEWED FOR EFFECTIVENESS BY THE FIRM'S INTERNAL AUDIT FUNCTION; (II) SUBMIT TO THE BOARD OF GOVERNORS A WRITTEN PLAN, AND TIMELINE FOR IMPLEMENTATION, FOR THE TRAINING OF ALL APPROPRIATE GSCO PERSONNEL REGARDING THE RESTRICTIONS, CONTROLS AND LEGAL REQUIREMENTS GOVERNING THE USE OF CONFIDENTIAL SUPERVISORY INFORMATION; AND (III) CERTIFY TO THE BOARD OF GOVERNORS THAT ALL DOCUMENTS CONTAINING CONFIDENTIAL SUPERVISORY INFORMATION OF WHICH THE FIRM IS AWARE OR BECOMES AWARE THAT THE FIRM OBTAINED WITHOUT APPROPRIATE REGULATORY AUTHORIZATION HAVE BEEN DE-REFERENCED FROM THE FIRM'S INTERNAL SYSTEMS AND RENDERED INACCESSIBLE BY FIRM PERSONNEL, AND TO THE EXTENT SUCH CONFIDENTIAL SUPERVISORY INFORMATION MAY BE SUBSEQUENTLY BE RESTORED OR RENDERED ACCESSIBLE FOR ANY PURPOSE, THE FIRM SHALL NOTIFY THE BOARD OF GOVERNORS PRIOR TO SUCH INFORMATION BEING RESTORED OR ACCESSIBLE BY FIRM PERSONNEL; (C) THE FIRM SHALL NOT IN THE FUTURE DIRECTLY OR INDIRECTLY RETAIN ANY INDIVIDUAL AS AN OFFICER, EMPLOYEE, AGENT, CONSULTANT, OR CONTRACTOR OF THE FIRM OR OF ANY AFFILIATE OF THE FIRM WHO, BASED ON THE INVESTIGATIVE RECORD COMPILED BY U.S. AUTHORITIES, HAS DONE ALL OF THE FOLLOWING: (I) PARTICIPATED IN THE ILLEGAL CONDUCT DESCRIBED IN THE CONSENT ORDER; (II) BEEN SUBJECT TO FORMAL DISCIPLINARY ACTION AS A RESULT OF GSCO'S INTERNAL DISCIPLINARY REVIEW OR PERFORMANCE REVIEW IN CONNECTION WITH THE CONDUCT DESCRIBED IN THE CONSENT ORDER; AND (III) HAS BEEN SEPARATED FROM OR HAS HAD HIS OR HER EMPLOYMENT TERMINATED BY THE FIRM; AND (D) THE FIRM PAID A CIVIL MONETARY PENALTY IN THE AMOUNT OF $36,300,000 ON AUGUST 3, 2016.
Allegations: THE FEDERAL DEPARTMENT OF FINANCE ("FDF") OF THE SWISS CONFEDERATION ALLEGED THAT THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") PUBLISHED TWICE AN INCOMPLETE NOTIFICATION REGARDING THE FIRM'S HOLDINGS IN CERTAIN SECURITIES IN THE PERIOD BETWEEN DECEMBER 12, 2013 AND FEBRUARY 12, 2014, AND PUBLISHED DELAYED NOTIFICATION OF THE FIRM'S QUALIFIED SHAREHOLDING IN CERTAIN SECURITIES EXCEEDING THE NOTIFICATION THRESHOLD IN THE PERIOD BETWEEN AUGUST 19, 2014 AND AUGUST 8, 2015, EACH IN ALLEGED INFRINGEMENT OF ARTICLE 41 OF THE SWISS FEDERAL ACT ON STOCK EXCHANGES AND SECURITIES TRADING ("SESTA"). Status: Final Sanction Detail: WITHOUT ADMITTING ANY INTENTIONAL INFRINGEMENT OF SESTA ARTICLES OR WRONGDOING, GS GROUP CONSENTED TO A PAYMENT TO THE SWISS CONFEDERATION IN THE AMOUNT OF CHF20,000, WHICH AMOUNT WAS PAID ON DECEMBER 18, 2015. WHILE THE ACTUAL PAYMENT WAS MADE IN SWISS FRANCS, USING THE MOST RECENTLY PUBLISHED FEDERAL RESERVE FOREIGN EXCHANGE RATE OF CHF0.9828:USD1 AS OF DECEMBER 11, 2015, THE EQUIVALENT U.S. DOLLAR VALUE ON DECEMBER 11, 2015 WAS $20,350.02, WHICH AMOUNT IS REFLECTED IN ITEM 12.A. ABOVE. Summary: WITHOUT ADMITTING ANY INTENTIONAL INFRINGEMENT OF SESTA ARTICLES OR WRONGDOING, GS GROUP ENTERED INTO A SETTLEMENT AGREEMENT WITH FDF ON DECEMBER 8, 2015, AND CONSENTED TO A PAYMENT TO THE SWISS CONFEDERATION IN THE AMOUNT OF CHF20,000, WHICH AMOUNT WAS PAID ON DECEMBER 18, 2015.
Allegations: ON FEBRUARY 24, 2021, FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY CONCLUDED THAT GOLDMAN SACHS GROUP, INC., GOLDMAN SACHS INTERNATIONAL, AND GOLDMAN SACHS & CO. LLC VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 3-14 OF THE NORWEGIAN SECURITIES TRADING ACT, CF. REGULATION (EU) NO 236/2012 ("SSR") ARTICLE 5, CF. ARTICLE 9, BY NOT NOTIFYING FINANSTILSYNET OF NET SHORT POSITIONS WITHIN THE TIME LIMIT LAID IN ACCORDANCE WITH SSR. Status: Final Sanction Detail: ON FEBRUARY 24, 2021, FINANSTILSYNET IMPOSED A VIOLATION PENALTY OF NOK 350,000 (APPROXIMATELY USD 41,939.27). THE FINE WAS PAID IN FULL BY WIRE SUBMISSION ON JUNE 15, 2021. Summary: ON FEBRUARY 24, 2021, FINANSTILSYNET IMPOSED A VIOLATION PENALTY OF NOK 350,000 (APPROXIMATELY USD 41,939.27). THE FINE WAS PAID IN FULL BY WIRE SUBMISSION ON JUNE 15, 2021.
Allegations: ON SEPTEMBER 20, 2019 THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY (FINANSINSPEKTIONEN - "SFSA") IMPOSED AN ADMINISTRATIVE FINE ON GOLDMAN SACHS GROUP, INC. ("GS GROUP") IN THE AMOUNT OF 70,000 SWEDISH KRONA (SEK) (APPROXIMATELY USD 7,200). SFSA ALLEGES A VIOLATION BY GS GROUP OF CHAPTER 6, SECTION 3 A, SUBSECTION 1 OF THE FINANCIAL INSTRUMENTS TRADING ACT DUE TO A DELAY IN NOTIFYING A RELEVANT CHANGE IN GS GROUP'S HOLDING OF SHARES AND OTHER FINANCIAL INSTRUMENTS IN FINGERPRINT CARDS AB. Status: Final Sanction Detail: GS GROUP PAID THE FINE OF 70,000 SEK ON DECEMBER 19, 2019 TO THE SFSA BY WIRE. WHILE THE ACTUAL PAYMENT OF THE FINE WAS MADE IN SEK, BASED ON THE FOREIGN EXCHANGE RATE OF 1 USD: 9.4211 SEK AS OF DECEMBER 19, 2019, THE EQUIVALENT U.S. DOLLAR VALUE WAS APPROXIMATELY 7,430.13 USD, WHICH AMOUNT IS REFLECTED IN ITEM 12.A. ABOVE. Summary: GS GROUP PAID THE FINE OF 70,000 SEK ON DECEMBER 19, 2019 TO THE SFSA BY WIRE. WHILE THE ACTUAL PAYMENT OF THE FINE WAS MADE IN SEK, BASED ON THE FOREIGN EXCHANGE RATE OF 1 USD: 9.4211 SEK AS OF DECEMBER 19, 2019, THE EQUIVALENT U.S. DOLLAR VALUE WAS APPROXIMATELY 7,430.13 USD, WHICH AMOUNT IS REFLECTED IN ITEM 12.A. ABOVE.
Allegations: THE CZECH NATIONAL BANK ("CNB") ISSUED AN ORDER ALLEGING THAT THE GOLDMAN SACHS GROUP, INC. (THE "FIRM") FAILED TO NOTIFY THE CNB WITHIN THE STATUTORY TIME LIMIT THAT ITS SHARES IN THE VOTING RIGHTS OF A CERTAIN ISSUER COMPANY HAD EXCEEDED 1%, IN DEEMED VIOLATION OF ARTICLE 122(1), AND IN CONJUNCTION WITH ARTICLE 122(2), OF THE CAPITAL MARKET UNDERTAKINGS ACT. Status: Final Sanction Detail: THE CNB IMPOSED A FINE ON THE FIRM IN THE AMOUNT OF 750,000 CZECH KORUNA (CZK), TOGETHER WITH COSTS OF 1,000 CZK, WHICH WAS PAID BY WIRE ON SEPTEMBER 7, 2018. WHILE THE ACTUAL PAYMENT OF THE FINE AND COSTS WAS MADE IN CZECH KORUNA, USING THE CNB FOREIGN EXCHANGE RATE OF CZK22.124:USD1 AS OF SEPTEMBER 7, 2018, THE EQUIVALENT U.S. DOLLAR VALUE ON SEPTEMBER 7, 2018 WAS APPROXIMATELY $33,945.00, WHICH AMOUNT IS REFLECTED IN ITEM 12.A. ABOVE. Summary: THE CNB IMPOSED A FINE ON THE FIRM IN THE AMOUNT OF 750,000 CZECH KORUNA (CZK), TOGETHER WITH COSTS OF 1,000 CZK, WHICH WAS PAID BY WIRE ON SEPTEMBER 7, 2018.
Allegations: THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS") HAS ALLEGED THAT: (A) CERTAIN FOREIGN EXCHANGE ("FX") TRADERS AT CERTAIN AFFILIATES OF THE GOLDMAN SACHS GROUP, INC. AND GOLDMAN SACHS BANK USA (TOGETHER, "GOLDMAN SACHS") ENGAGED IN IMPROPER CONDUCT OVER THE PERIOD 2008 THROUGH EARLY 2013; (B) ESCALATION OF CERTAIN COMPLIANCE CONCERNS DID NOT ALWAYS OCCUR AS REQUIRED, ALLOWING POTENTIALLY IMPROPER ACTIVITY TO CONTINUE UNNECESSARILY; AND (C) GOLDMAN SACHS CONDUCTED BANKING BUSINESS IN AN UNSAFE AND UNSOUND MANNER, IN VIOLATION OF NEW YORK BANKING LAW § 44. Status: Final Sanction Detail: ON MAY 1, 2018, GOLDMAN SACHS AND THE DFS ENTERED INTO A CONSENT ORDER UNDER NEW YORK STATE BANKING LAW §§ 39 AND 44, WHICH ASSESSES GOLDMAN SACHS A CIVIL MONETARY PENALTY IN THE AMOUNT OF $54,750,000, WHICH GOLDMAN SACHS PAID TO THE DFS ON MAY 8, 2018. Summary: ON MAY 1, 2018, GOLDMAN SACHS AND THE DFS ENTERED INTO A CONSENT ORDER UNDER NEW YORK STATE BANKING LAW §§ 39 AND 44 (THE "CONSENT ORDER"), PURSUANT TO WHICH GOLDMAN SACHS: (A) SHALL NOT IN THE FUTURE REHIRE OR RETAIN A CERTAIN TRADER AS EITHER AN OFFICER, EMPLOYEE, AGENT, CONSULTANT, OR CONTRACTOR OF GOLDMAN SACHS OR ANY AFFILIATE OF GOLDMAN SACHS, OR IN ANY OTHER CAPACITY; (B) SHALL SUBMIT TO THE DFS WITHIN THE APPLICABLE TIME PERIODS SET FORTH IN THE CONSENT ORDER, AN ENHANCED WRITTEN INTERNAL CONTROLS AND COMPLIANCE PROGRAM, COMPLIANCE RISK MANAGEMENT PROGRAM, AND INTERNAL AUDIT PROGRAM, EACH ACCEPTABLE TO THE DFS, ADOPT AND IMPLEMENT THOSE PROGRAMS, AND PROVIDE WRITTEN PROGRESS REPORTS CONCERNING: (I) COMPLIANCE WITH APPLICABLE NEW YORK STATE AND FEDERAL LAWS AND REGULATIONS AS REGARDS ITS FX BUSINESS, AND RECOGNIZED FX INDUSTRY BEST PRACTICES, AS AFFECT OR PERTAIN TO GOLDMAN SACHS OR NEW YORK CUSTOMERS; (II) CREATION OF ENHANCED POLICIES AND PROCEDURES GOVERNING THE FX BUSINESS, AND GOLDMAN SACHS' COMPLIANCE WITH THOSE POLICIES AND PROCEDURES, AS AFFECT OR PERTAIN TO GOLDMAN SACHS OR NEW YORK CUSTOMERS, AND (III) GOLDMAN SACHS' MAINTENANCE OF AN HONEST, ETHICAL AND FAIR FX BUSINESS AS IT AFFECTS OR PERTAINS TO THE NEW YORK BRANCH OR NEW YORK CUSTOMERS; AND (C) PAID A CIVIL MONETARY PENALTY IN THE AMOUNT OF $54,750,000 ON MAY 8, 2018.
Allegations: ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO A CONSENT ORDER FOR A CIVIL MONEY PENALTY WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS", AND THE CONSENT ORDER, THE "DFS ORDER"), WHICH ALLEGED VIOLATIONS OF THE NEW YORK BANKING LAW ("BANKING LAW") ARISING OUT OF INVESTMENTS BY A GS GROUP WHOLLY-OWNED SUBSIDIARY, GOLDMAN SACHS BANK USA ("GS BANK"), IN INSTRUMENTS RELATED TO 1MALAYSIA DEVELOPMENT BERHAD ("1MDB"). THE CONDUCT DESCRIBED IN THE DFS ORDER INCLUDES (I) THE FAILURE OF GS GROUP TO ADEQUATELY DETECT OR ADDRESS CERTAIN RED FLAGS IN CONNECTION WITH THE 1MDB BOND TRANSACTIONS; (II) GS GROUP'S FAILURE TO ESCALATE OR ADDRESS ALLEGATIONS OF BRIBERY COMMUNICATED TO CERTAIN SENIOR BUSINESS PERSONNEL FOLLOWING THE COMPLETION OF THE 1MDB OFFERINGS; (III) GS GROUP'S FAILURE TO ADDRESS ALLEGATIONS OF ITS EMPLOYEES SUSPECTED INVOLVEMENT IN THE 1MDB MISCONDUCT; AND (IV) GS GROUP'S FAILURE TO CONVEY TO GS BANK RED FLAGS OR INFORMATION KNOWN ABOUT THE 1MDB OFFERINGS OR THE MISCONDUCT OF ITS EMPLOYEES SO THAT GS BANK COULD AFFIRMATIVELY REPORT THE INCIDENT TO THE DFS. THE DFS ORDER ALSO FINDS THAT GS GROUP VIOLATED SECTION 44 OF THE BANKING LAW BY CONDUCTING BUSINESS IN AN UNSAFE AND UNSOUND MANNER AND 3 N.Y.C.R.R. SECTION 300.4 BY FAILING TO SUBMIT A REPORT TO THE SUPERINTENDENT OF THE DFS OF ONE OR MORE INCIDENTS THAT APPEAR TO RELATE TO A PLAN OR SCHEME THAT WOULD BE OF INTEREST TO SIMILAR ORGANIZATIONS LOCATED IN THE SAME AREA OR THROUGH THE STATE. Status: Final Sanction Detail: PURSUANT TO THE DFS ORDER, THE DFS REQUIRED GS GROUP TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $150,000,000. Summary: GS GROUP PAID A CIVIL MONEY PENALTY IN THE AMOUNT OF $150,000,000 TO THE DFS.
Allegations: ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE", AND THE ORDER, THE "FEDERAL RESERVE ORDER"), WHICH ALLEGED GS GROUP ENGAGED IN UNSAFE AND UNSOUND BANKING PRACTICES RELATING TO THE 1MALAYSIA DEVELOPMENT BERHAD ("1MDB") BOND TRANSACTIONS THAT RESULTED FROM DEFICIENT POLICIES, PROCEDURES AND CONTROLS. SUCH DEFICIENCIES INCLUDED (I) THE LACK OF, OR FAILURE TO IMPLEMENT, ADEQUATE COMPLIANCE POLICIES AND PROCEDURES TO ENSURE THE 1MDB OFFERINGS COMPLIED WITH SAFE AND SOUND PRACTICES; (II) THE FAILURE OF THE REVIEW AND APPROVAL PROCESS TO APPRECIATE THE SIGNIFICANT RISKS ASSOCIATED WITH THE 1MDB OFFERINGS; (III) THE FAILURE OF GS GROUP CONTROL FUNCTIONS AND SENIOR PERSONNEL TO ADDRESS RED FLAGS, INSIST ON ADEQUATE INFORMATION AND DOCUMENTATION REGARDING KEY ASPECTS OF THE OFFERINGS PRIOR TO EXECUTION, AND EFFECTIVELY SUPERVISE A SENIOR BUSINESS EMPLOYEE ABOUT WHOM CERTAIN GS GROUP PERSONNEL HAD EXPRESSED INTEGRITY CONCERNS IN THE PAST; AND (IV) THE FAILURE TO ESCALATE OR ADDRESS ALLEGATIONS OF BRIBERY COMMUNICATED TO CERTAIN SENIOR BUSINESS PERSONNEL. Status: Final Sanction Detail: PURSUANT TO THE FEDERAL RESERVE ORDER, THE FEDERAL RESERVE ORDERED GS GROUP TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $154,000,000. Summary: IN ADDITION TO PAYMENT OF THE CIVIL MONEY PENALTY, THE FEDERAL RESERVE ORDER REQUIRES THAT GS GROUP TAKE CERTAIN AFFIRMATIVE ACTIONS, INCLUDING SUBMITTING TO THE FEDERAL RESERVE (I) A WRITTEN PLAN TO ENHANCE, AND MAINTAIN IMPROVEMENTS TO, OVERSIGHT OF THE REVIEW AND APPROVAL OF CERTAIN SIGNIFICANT AND COMPLEX TRANSACTIONS; (II) A WRITTEN PLAN TO ENHANCE ITS EXISTING ANTI-BRIBERY COMPLIANCE PROGRAM FOR SUCH TRANSACTIONS; AND (III) A WRITTEN E HANCED DUE DILIGENCE PROGRAM FOR SUCH TRANSACTIONS, IN EACH CASE EACH ACCEPTABLE TO THE FEDERAL RESERVE.
Allegations: THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS") HAS ALLEGED THAT: (A) A FORMER ASSOCIATE OF GOLDMAN, SACHS & CO. (TOGETHER WITH THE GOLDMAN SACHS GROUP, INC., "GOLDMAN SACHS") ENGAGED IN THE THEFT OF DFS CONFIDENTIAL SUPERVISORY INFORMATION, AND THAT A FORMER GOLDMAN SACHS MANAGING DIRECTOR IMPROPERLY RECEIVED THIS INFORMATION WITHOUT REPORTING IT; AND (B) GOLDMAN SACHS FAILED: (I) TO EFFECTIVELY SUPERVISE THE ASSOCIATE TO PREVENT THIS THEFT FROM OCCURRING; (II) TO IMPLEMENT AND MAINTAIN ADEQUATE POLICIES AND PROCEDURES RELATING TO POST-EMPLOYMENT RESTRICTIONS FOR FORMER GOVERNMENT EMPLOYEES; AND (III) TO IMPLEMENT AND MAINTAIN SUFFICIENT POLICIES AND PROCEDURES TO ENSURE COMPLIANCE WITH NEW YORK STATE BANKING LAW SECTION 36(10) ("SECTION 36(10)"), SPECIFICALLY WITH RESPECT TO GOLDMAN SACHS' UNAUTHORIZED POSSESSION AND DISTRIBUTION OF DFS CONFIDENTIAL SUPERVISORY INFORMATION. Status: Final Sanction Detail: THE CONSENT ORDER REQUIRED GOLDMAN SACHS TO PAY A CIVIL MONETARY PENALTY TO THE DFS IN THE AMOUNT OF $50 MILLION, WHICH GOLDMAN SACHS PAID ON NOVEMBER 9, 2015. Summary: GOLDMAN SACHS AND THE DFS ENTERED INTO A CONSENT ORDER UNDER NEW YORK STATE BANKING LAW SECTIONS 39 AND 44 ON OCTOBER 28, 2015 (THE "CONSENT ORDER"), PURSUANT TO WHICH GOLDMAN SACHS: (A) VOLUNTARILY WILL NOT ACCEPT ANY NEW ENGAGEMENTS THAT WOULD REQUIRE THE DFS TO AUTHORIZE THE DISCLOSURE OF CONFIDENTIAL SUPERVISORY INFORMATION UNDER SECTION 36(10) TO GOLDMAN SACHS DURING THE THREE-YEAR PERIOD FOLLOWING THE DATE OF THE CONSENT ORDER; (B) AGREED TO IMPLEMENT REFORMS TO ITS POLICIES AND PROCEDURES THAT ARE REASONABLY DESIGNED TO PREVENT THE IMPROPER USE OF CONFIDENTIAL SUPERVISORY INFORMATION UNDER SECTION 36(10), INCLUDING: (I) POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE THE PROTECTION AND PROPER HANDLING OF CONFIDENTIAL SUPERVISORY INFORMATION UNDER SECTION 36(10); (II) CONFIRMING THAT, TO THE BEST OF GOLDMAN SACHS' KNOWLEDGE, AS OF THE DATE OF THE CONSENT ORDER, GOLDMAN SACHS HAD NOT ACCEPTED ANY ENGAGEMENTS THAT WOULD REQUIRE THE DFS TO AUTHORIZE THE DISCLOSURE OF CONFIDENTIAL SUPERVISORY INFORMATION UNDER SECTION 36(10); (III) POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT GOLDMAN SACHS IS AWARE OF APPLICABLE POST-EMPLOYMENT RESTRICTIONS FOR FORMER GOVERNMENT EMPLOYEES HIRED AFTER THE DATE OF THE CONSENT ORDER WHO HAVE LEFT THE GOVERNMENT WITHIN THE PAST FIVE YEARS AND THAT GOLDMAN SACHS HAS TAKEN STEPS NECESSARY TO ADDRESS COMPLIANCE WITH THOSE RESTRICTIONS; (IV) PROCESSES TO MONITOR THE ASSIGNMENT OF SUCH FORMER GOVERNMENT EMPLOYEES TO PREVENT VIOLATIONS OF POST-EMPLOYMENT RESTRICTIONS AND PROTECT CONFIDENTIAL SUPERVISORY INFORMATION UNDER SECTION 36(10); AND (V) PROCESSES TO MONITOR THE USE OF EMAIL TO ADDRESS THE MISUSE OF CONFIDENTIAL MATERIAL UNDER SECTION 36(10); AND (C) PAID A CIVIL MONETARY PENALTY IN THE AMOUNT OF $50 MILLION ON NOVEMBER 9, 2015.
Allegations: ON DECEMBER 21, 2016, THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED AN ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(C) AND 6(D) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS (THE "ORDER") AGAINST THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") AND GOLDMAN, SACHS & CO. (THE "FIRM", AND TOGETHER WITH GS GROUP, "GOLDMAN") RELATING TO ATTEMPTED MANIPULATION OF THE U.S. DOLLAR INTERNATIONAL SWAPS AND DERIVATIVES ASSOCIATION FIX ("USD ISDAFIX"), AN INTEREST RATE BENCHMARK. SPECIFICALLY, THE CFTC FOUND THAT, FROM JANUARY 2007 THROUGH MARCH 2012, CERTAIN TRADERS ON THE FIRM'S INTEREST RATE PRODUCTS TRADING DESKS SUBMITTED BIDS AND OFFERS, AND EXECUTED TRADES, THAT WERE DESIGNED TO ATTEMPT TO MANIPULATE THE USD ISDAFIX. IN ADDITION, THE CFTC FOUND THAT THESE TRADERS ATTEMPTED TO AFFECT THE RATE AT WHICH USD ISDAFIX WAS SET BY MAKING FALSE, MISLEADING, OR KNOWINGLY INACCURATE SUBMISSIONS TO CERTAIN SWAPS BROKERS FOR INCLUSION IN THE CALCULATION OF THE DAILY RATES. THE ORDER ALSO STATES THAT THE TRADERS SUBMITTED ORAL AND WRITTEN REQUESTS FOR CERTAIN RATES TO BE SUBMITTED, WHICH WOULD BENEFIT THE FIRM'S TRADING POSITIONS. THE CFTC FOUND THAT GOLDMAN VIOLATED COMMODITY EXCHANGE ACT SECTIONS 6(C), 6(D), AND 9(A)(2), 7 U.S.C. §§ 9, 13B, 13(A)(2) (2006), AND FOR CONDUCT OCCURRING ON OR AFTER AUGUST 15, 2011, SECTIONS 6(C)(1), 6(C)(1)(A), 6(C)(3), 6(D), AND 9(A)(2), 7 U.S.C. §§ 9(1), 9(1)(A), 9(3), 13B, 13(A)(2) (2012), AND CFTC REGULATIONS 180.1(A) AND 180.2, 17 C.F.R. §§ 180.1(A), 180.2 (2015). Status: Final Sanction Detail: THE ORDER REQUIRED GOLDMAN TO PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $120 MILLION, WHICH THE FIRM PAID ON DECEMBER 28, 2016. Summary: WITHOUT ADMITTING OR DENYING THE VIOLATIONS, GOLDMAN CONSENTED TO THE ENTRY OF THE ORDER ON DECEMBER 21, 2016 BY THE CFTC, PURSUANT TO WHICH GOLDMAN: (A) SHALL CEASE AND DESIST FROM VIOLATING COMMODITY EXCHANGE ACT SECTIONS 6(C)(1), 6(C)(1)(A), 6(C)(3), 6(D), AND 9(A)(2), 7 U.S.C. §§ 9(1), 9(1)(A), 9(3), 13B, 13(A)(2) (2012), AND CFTC REGULATIONS 180.1(A) AND 180.2, 17 C.F.R. §§ 180.1(A), 180.2 (2015); (B) PAY A CIVIL MONETARY PENALTY OF $120 MILLION, WHICH THE FIRM PAID ON DECEMBER 28, 2016; AND (C) COMPLY WITH THE UNDERTAKINGS SET FORTH IN THE ORDER, INCLUDING PROVIDING A REPORT TO THE CFTC WITHIN 120 DAYS OF THE ORDER, ADDRESSING REMEDIATION EFFORTS BOTH PRIOR TO AND SINCE THE ENTRY OF THE ORDER, AND PROVIDING AN ADDITIONAL REPORT TO THE CFTC, NO LATER THAN 365 DAYS OF THE ENTRY OF THE ORDER, EXPLAINING HOW IT HAS COMPLIED WITH THE UNDERTAKINGS SET FORTH IN THE ORDER.
Allegations: ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED GS GROUP FAILED TO REASONABLY MAINTAIN A SUFFICIENT SYSTEM OF INTERNAL ACCOUNTING CONTROLS BETWEEN 2012 AND 2015 WITH RESPECT TO THE PROCESS BY WHICH IT REVIEWED AND APPROVED THE COMMITMENT OF FIRM CAPITAL IN LARGE, SIGNIFICANT AND COMPLEX TRANSITIONS, SUCH AS THE 1MALAYSIA DEVELOPMENT BERHAD ("1MDB") OFFERINGS, AND THAT DOCUMENTATION PREPARED IN CONNECTION WITH THE 1MDB TRANSACTIONS DID NOT ACCURATELY REFLECT CERTAIN ASPECTS OF THE BOND OFFERINGS, INCLUDING THE INVOLVEMENT OF A THIRD PARTY INTERMEDIARY IN THE OFFERINGS. Status: Final Sanction Detail: PURSUANT TO THE SEC ORDER, THE SEC REQUIRED GS GROUP (I) TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $400,000,000 AND (II) TO PAY DISGORGEMENT OF $606,300,000, WITH DOLLAR-FOR-DOLLAR DISGORGEMENT CREDIT O THAT AMOUNT BASED ON THE U.S. DOLLAR VALUE OF SIMILAR PAYMENTS MADE TO THE GOVERNMENT OF MALAYSIA AND 1MDB PURSUANT TO THE PARALLEL SETTLEMENT AGREEMENT ENTERED INTO BY GS GROUP ON AUGUST 18, 2020 (THE "SETTLEMENT AGREEMENT"). Summary: GS GROUP PAID A CIVIL MONEY PENALTY IN THE AMOUNT OF $400,000,000 TO THE SEC AND DISGORGEMENT OF $606,300,000, WITH DOLLAR-FOR-DOLLAR DISGORGEMENT CREDIT UP TO THAT AMOUNT BASED ON THE U.S. DOLLAR VALUE OF SIMILAR PAYMENTS MADE PURSUANT TO THE SETTLEMENT AGREEMENT.
Allegations: ON SEPTEMBER 25, 2024, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED THAT GS GROUP AND CERTAIN OF ITS AFFILIATES FAILED TO TIMELY FILE REPORTS ON FORMS 3 AND 4 IN ACCORDANCE WITH SECTION 16(A) OF THE SECURITIES EXCHANGE ACT 1934, AS AMENDED, AND RULE 16A-3 THEREUNDER. Status: Final Sanction Detail: PURSUANT TO THE SEC ORDER, THE SEC REQUIRED GS GROUP TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $300,000. GS GROUP PAID THE PENALTY ON 10/15/2024. Summary: GS GROUP PAID A CIVIL MONEY PENALTY IN THE AMOUNT OF $300,000 TO THE SEC ON 10/15/2024.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Subscription fees
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Goldman Sachs $26.2B (83% of AUM) Jun 2026
- Fidelity Brokerage Services $7.7B (24% of AUM) Jan 2023
- National Financial Services (Fidelity) $5.5B (17% of AUM) Jun 2026
- Charles Schwab & Co. $2.3B (9% of AUM) Feb 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 15, 2026.
View current Form ADV (SEC/IAPD) ↗