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Investment Adviser Firm Summary

GOLDMAN SACHS & CO. LLC (CRD# 361 / SEC# 8-129, 801-16048)
Alternate Names: GOLDMAN SACHS & CO. LLC , GOLDMAN SACHS ASSET MANAGEMENT ("GSAM") , GOLDMAN, SACHS & CO.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/13/1981

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 10/28/1992
Alaska 11/21/1997
Arizona 11/26/1997
Arkansas 10/19/1988
California 07/08/1997
Colorado 04/30/2001
Connecticut 09/26/1997
Delaware 01/24/2011
District of Columbia 04/30/2001
Florida 06/14/1993
Georgia 02/27/2003
Hawaii 11/14/1997
Idaho 11/14/1997
Illinois 12/12/1988
Indiana 09/06/1988
Iowa 01/01/1999
Kansas 11/18/1997
Kentucky 11/24/1997
Louisiana 10/08/2001
Maine 01/20/1989
Maryland 01/01/1992
Massachusetts 04/30/2001
Michigan 04/30/2001
Minnesota 01/02/1998
Mississippi 11/17/1997
Missouri 11/19/1997
Montana 11/26/1997
Nebraska 11/24/1999
Nevada 01/02/1991
New Hampshire 10/26/1988
New Jersey 09/15/1988
New Mexico 01/25/1989
New York 10/26/1988
North Carolina 04/03/2001
North Dakota 10/18/1988
Ohio 11/19/1999
Oklahoma 01/01/1998
Oregon 11/18/1988
Pennsylvania 01/01/1998
Puerto Rico 11/01/1996
Rhode Island 11/17/1997
South Carolina 10/24/1988
South Dakota 10/21/1988
Tennessee 09/19/1997
Texas 04/30/2001
Utah 10/09/1997
Vermont 11/24/1997
Virgin Islands 02/28/2008
Virginia 02/03/1998
Washington 12/29/1998
West Virginia 09/06/1988
Wisconsin 11/17/1997
Wyoming 01/16/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser