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.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.