Branch offices
37 offices
FINRA: Large firm
CRD #361 · FINRA BrokerCheck + SEC IAPD
Goldman Sachs & Co. LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Goldman Sachs & Co. LLC ranks #10 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #5 of 868 on the same disclosure sort used on the state browse page. Goldman Sachs & Co. LLC carries 433 BrokerCheck disclosures across 37 branch offices - heavy load for a mid-sized firm, earning a Grade D.
- Grade D
- Safety grade
- 37
- branch offices
- 433
- disclosures
- #10 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 361 Goldman Sachs & Co. LLC
Goldman Sachs & Co. LLC · Grade D · 433 disc · 11.70/office · Mid-sized firm
- CRD 361
- GRADE D
- DISC 433
- REG 409
- ARB 20
- CIV 4
- BRANCH 37
- PER-OFF 11.70
- RANK #10 of 20,055
- BOOK Mid-sized firm
Intensity peers
Nearest same-size peer: Morgan Stanley & Co. LLC (12.55 disc/office)
Goldman Sachs & Co. LLC ranks #10 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.70 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
433 events
On FINRA BrokerCheck
Regulatory events
409 actions
94% of all disclosures
Disclosures per office
11.70 per office
433 ÷ 37 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Goldman Sachs & Co. LLC - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 409 |
| Arbitrations | 20 |
| Civil Events | 4 |
| Total | 433 |
Counts for Goldman Sachs & Co. LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 409 Arbitration 20 Civil 4
Firm Details
- Firm Size
- Large
- Scope
- ACTIVE
- Location
- New York, NY
- CRD Number
- 361
Regulator-heavy mix
Goldman Sachs & Co. LLC in the heavier-disclosure third
Goldman Sachs & Co. LLC carries 433 BrokerCheck disclosures across 37 branch offices - a heavier-third raw book among graded firms (#10 of 20,055). Regulator-initiated events are 94% of the book (409 regulatory / 20 arbitration / 4 civil).
94% of Goldman Sachs & Co. LLC's 433 disclosures are regulator-initiated (409 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Goldman Sachs & Co. LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New York cohort · 50× state average
Goldman Sachs & Co. LLC sits above the New York disclosure average
Goldman Sachs & Co. LLC reports 433 BrokerCheck disclosures, 50× the New York average of 8.7 across 868 graded firms with a principal-office state on file.
In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Goldman Sachs & Co. LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Goldman Sachs & Co. LLC ranks #10 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #5 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Goldman Sachs & Co. LLC?
A grade of D reflects Goldman Sachs & Co. LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 433 total disclosures across 37 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Goldman Sachs & Co. LLC have?
Goldman Sachs & Co. LLC has 433 total FINRA disclosures, including 409 regulatory events, 20 arbitrations, 4 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Goldman Sachs & Co. LLC?
Goldman Sachs & Co. LLC operates 37 branch offices and is classified by FINRA as a large firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Goldman Sachs & Co. LLC's disciplinary record?
You can verify Goldman Sachs & Co. LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 361. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Goldman Sachs & Co. LLC's 433 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Goldman Sachs & Co. LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Goldman Sachs & Co. LLC carries 433 disclosures across 37 branch offices (about 11.70 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Goldman Sachs & Co. LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (433 here).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (37 here).
Read with this firm
- Morgan Stanley & Co. LLC (NY) - 12.55 disclosures/office, nearest mid-sized firm peer to Goldman Sachs & Co. LLC's 11.70
- UBS Securities LLC (NY) - 8.13 disclosures/office, nearest mid-sized firm peer to Goldman Sachs & Co. LLC's 11.70
- Jefferies LLC (NY) - 3.26 disclosures/office, nearest mid-sized firm peer to Goldman Sachs & Co. LLC's 11.70
- Firms in NY - state roster that includes Goldman Sachs & Co. LLC's registration home.
- Red Flags in Advisor Records - How to read Goldman Sachs & Co. LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 433 disclosures behind Goldman Sachs & Co. LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Goldman Sachs & Co. LLC.
- Compare firms - put Goldman Sachs & Co. LLC next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.