GOLDMAN SACHS WEALTH SERVICES, L.P. of COHOES, NY is an SEC-registered investment adviser (CRD 106693). Regulatory assets under management: $31.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Subscription.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Corporations.
Showing 25 of 35 people.
| Name | Role | Location |
|---|---|---|
| Shelley M Luks | VICE PRESIDENT, TREASURER | — |
| Kyle Kinowski | VICE PRESIDENT, ASSISTANT SECRETARY | — |
| Diana Elizabeth Ryan | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Jason Patrick Shepard | VICE PRESIDENT, SECRETARY | — |
| David Ashley Fox | PRESIDENT, CHIEF EXECUTIVE OFFICER | — |
| MARTIN PETER RUPPERT | CHIEF LEGAL OFFICER; SVP & CO-GENERAL COUNSEL | — |
| LEBROU JAMES JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| SCHALLER JOEL LESLIE | CHIEF EXECUTIVE OFFICER; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| KUTEY PAUL W | SENIOR VICE PRESIDENT - FINANCE AND OPERATIONS | — |
| COLLINS SHANNON JOSEPH | CHIEF FINANCIAL OFFICER | — |
| LIVINGSTONE LINDA ANN | SENIOR VICE PRESIDENT - BUSINESS OPERATIONS | — |
| SCHALLER JOEL L | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| CAVOLI MAE A | EVP & CHIEF OPERATING OFFICER; EVP & GENERAL COUNSEL; SVP & CO-GENERAL COUNSEL (+2 more) | — |
| PROSTICK ARTHUR ISOM | CHIEF COMPLIANCE OFFICER; SVP & CHIEF COMPLIANCE OFFICER | — |
| BREYO JOHN JOSEPH | 100 % SHAREHOLDER; CHIEF EXECUTIVE OFFICER | — |
| WOLFGANG ANDREW J | CHIEF COMPLIANCE OFFICER | — |
| LIVINGSTONE LINDA | SENIOR VICE PRESIDENT - BUSINESS OPERATIONS | — |
| O'HARA TIMOTHY DANIEL | CHIEF EXECUTIVE OFFICER | — |
| FRITZ ROBERT FRANCIS | EVP; VICE PRESIDENT | — |
| RIGABAR JOSEPH DANIEL | EVP | — |
| HEMSTEAD CHRISTOPHER | SVP & GENERAL COUNSEL | — |
| WILSON GREG RONALD | VICE PRESIDENT | — |
| CAVOLI MAE | EVP; EVP & CHIEF OPERATING OFFICER | — |
| HEMSTEAD CHRISTOPHER DRAKE | SVP & CHIEF LEGAL OFFICER; SVP & GENERAL COUNSEL; VICE PRESIDENT (+1 more) | — |
| RESTIERI LAWRENCE JOSEPH | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, PRESIDENT | — |
Showing 10 of 18 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-05-09 | regulatory | EFFECTIVE AS OF MAY 4, 2026, SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") ISSUED A PENALTY, EQUIVALENT TO APPROXIMATELY US$162,600.00, AGAINST THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") BASED ON A FINDING THAT, DURING THE PERIOD BETWEEN MARCH 20, 2024 AND APRIL 9, 2025, GS GROUP FAILED TO TIMELY REPORT… | Final | $163K |
| 2024-09-25 | regulatory | 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 REP… | Final | $300K |
| 2021-02-24 | regulatory | 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)… | Final | $42K |
| 2020-10-22 | regulatory | 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") AR… | Final | $150.0M |
| 2020-10-22 | regulatory | 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 G… | Final | $154.0M |
| 2020-10-22 | regulatory | 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… | Final | $400.0M |
| 2019-09-20 | regulatory | 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… | Final | $7K |
| 2018-05-01 | regulatory | 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 2… | Final | $54.8M |
| 2018-05-01 | regulatory | 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 FOREIG… | Final | $54.8M |
| 2018-01-12 | regulatory | 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 RESERV… | Final | $14.0M |