Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2000 - 2013 (13 years)2 FIRMS2013 - Present (11 years)BGOLDMAN, SACHS & CO. (CRD# 361)1994 - 2000 (6 years)
Disclosure(s)
View By:
6/22/2005
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 10/29/2013
B
Nevada 6/3/2015
B
California 10/29/2013
IA
Nevada 7/10/2018
IA
California 10/29/2013
B
New Jersey 8/12/2019
B
Colorado 10/29/2013
B
New Mexico 11/7/2019
B
Connecticut 12/22/2021
B
New York 10/29/2013
B
Delaware 10/29/2013
B
North Carolina 10/29/2013
B
District of Columbia 6/28/2018
B
Ohio 7/6/2022
B
Florida 10/29/2013
B
Oklahoma 1/2/2025
B
Georgia 3/13/2019
B
Oregon 10/29/2013
B
Hawaii 10/10/2014
B
Pennsylvania 11/8/2017
B
Idaho 10/29/2013
B
South Dakota 2/23/2022
B
Illinois 10/29/2013
B
Tennessee 1/25/2022
B
Indiana 1/2/2025
B
Texas 10/29/2013
B
Kansas 10/31/2022
IA
Texas 10/29/2013
B
Louisiana 7/6/2022
B
Utah 9/15/2017
B
Maryland 8/5/2019
B
Vermont 1/2/2025
B
Massachusetts 9/8/2015
B
Virgin Islands 11/17/2022
B
Michigan 10/29/2013
B
Virginia 2/7/2020
B
Minnesota 1/27/2025
B
Washington 10/29/2013
B
Missouri 12/6/2023
B
Wisconsin 4/27/2022
B
Montana 8/12/2019
B
Wyoming 10/29/2013

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Newport Beach, CA
Hidden Hills, CA
Registered with this firm since 10/29/2013
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Newport Beach, CA
Hidden Hills, CA
Registered with this firm since 10/29/2013
Previous Registration(s)
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IA
 03/10/2000 - 10/30/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 03/10/2000 - 10/30/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 03/29/1994 - 04/07/2000 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.