Branch offices
0 offices
FINRA: Small firm
CRD #3466 · FINRA BrokerCheck + SEC IAPD
Goldman Sachs Execution & Clearing, L.P.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Goldman Sachs Execution & Clearing, L.P. ranks #34 of 20,055 by disclosure count (most disclosures first). Goldman Sachs Execution & Clearing, L.P. carries 151 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 151
- disclosures
- #34 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 3466 Goldman Sachs Execution & Clearing, L.P.
Goldman Sachs Execution & Clearing, L.P. · Grade F · 151 disc · 151.00/office · Single-office firm
- CRD 3466
- GRADE F
- DISC 151
- REG 150
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #34 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Banc of America Investment Services, Inc. (122.00 disc/office)
Goldman Sachs Execution & Clearing, L.P. ranks #34 of 20,055 by disclosure count among graded broker-dealers; heavy load at 151.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
151 events
On FINRA BrokerCheck
Regulatory events
150 actions
99% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 150 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 151 |
Counts for Goldman Sachs Execution & Clearing, L.P. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 150 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 3466
Regulator-heavy mix
Goldman Sachs Execution & Clearing, L.P. in the heavier-disclosure third
Goldman Sachs Execution & Clearing, L.P. carries 151 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#34 of 20,055). Regulator-initiated events are 99% of the book (150 regulatory / 1 arbitration / 0 civil).
99% of Goldman Sachs Execution & Clearing, L.P.'s 151 disclosures are regulator-initiated (150 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Goldman Sachs Execution & Clearing, L.P.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Goldman Sachs Execution & Clearing, L.P. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Goldman Sachs Execution & Clearing, L.P. ranks #34 of 20,055 by disclosure count (most disclosures first). 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 F mean for Goldman Sachs Execution & Clearing, L.P.?
A grade of F reflects Goldman Sachs Execution & Clearing, L.P.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 151 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Goldman Sachs Execution & Clearing, L.P. have?
Goldman Sachs Execution & Clearing, L.P. has 151 total FINRA disclosures, including 150 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Goldman Sachs Execution & Clearing, L.P.?
Goldman Sachs Execution & Clearing, L.P. operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 Execution & Clearing, L.P.'s disciplinary record?
You can verify Goldman Sachs Execution & Clearing, L.P.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3466. 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 Execution & Clearing, L.P.'s 151 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Goldman Sachs Execution & Clearing, L.P. 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 Execution & Clearing, L.P. carries 151 disclosures across 0 branch offices (about 151.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Banc of America Investment Services, Inc. - 122.00 disclosures/office, nearest single-office firm peer to Goldman Sachs Execution & Clearing, L.P.'s 151.00
- Gruntal & Co., L.L.C. - 115.00 disclosures/office, nearest single-office firm peer to Goldman Sachs Execution & Clearing, L.P.'s 151.00
- J.P. Morgan Securities Inc. - 108.00 disclosures/office, nearest single-office firm peer to Goldman Sachs Execution & Clearing, L.P.'s 151.00
- Red Flags in Advisor Records - How to read Goldman Sachs Execution & Clearing, L.P.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 151 disclosures behind Goldman Sachs Execution & Clearing, L.P.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Goldman Sachs Execution & Clearing, L.P..
- Compare firms - put Goldman Sachs Execution & Clearing, L.P. 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.