Alan D. Wagman

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CRD#: 1517262

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alan David Wagman was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1986. Alan had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 9, Series 10, Series 4 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 20, 2012 - September 13, 2018

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

IRVINE, CA

Past

January 13, 2012 - September 13, 2018

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

IRVINE, CA

Past

September 22, 2010 - March 16, 2011

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

CRD#: 135131

ENGLEWOOD, NJ

Past

October 26, 2005 - June 19, 2008

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

ENCINO, CA

Past

January 1, 2005 - June 19, 2008

HSBC SECURITIES (USA) INC.

CRD#: 19585

ENCINO, CA

Past

July 20, 1994 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

July 27, 1988 - July 27, 1994

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

June 24, 1986 - September 11, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GOLDMAN SACHS WEALTH SERVICES, L.P.

GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT | THE AYCO COMPANY,L.P. | THE AYCO COMPANY, L.P. | GOLDMAN SACHS WEALTH SERVICES, L.P.

CRD#: 106693 / SEC#: 801-48238

RIA

Registered Investment Advisory firm - (12/9/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/7/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/7/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 1/31/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/13/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 3/28/2002

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/8/1991

Municipal Securities Principal Examination

Current Firm

GOLDMAN SACHS WEALTH SERVICES, L.P.

GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT | THE AYCO COMPANY,L.P. | THE AYCO COMPANY, L.P. | GOLDMAN SACHS WEALTH SERVICES, L.P.

CRD#: 106693 / SEC#: 801-48238

RIA

Registered Investment Advisory firm - (12/9/1994 Approved)

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Contact information

Main Address

100 Coliseum Drive, Cohoes, NY 12047

Mailing Address

P.o. Box 15201, Albany, NY 12212

Phone number

(518) 886-4000

Established

Firm type

Fiscal year end

# of Employees

1,809

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOLDMAN SACHS WEALTH SERVICES, L.P. FORM ADV PART 2A (7/1/2025)

GOLDMAN SACHS WEALTH SERVICES, L.P. FORM ADV PART 2A - APPENDIX 1 (7/1/2025)

Regulatory assets under management

Total Number of Accounts	33,477
AUM (Assets Under Management)	$ 25,958,285,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
09/25/2024	Cover Page	Report
11/17/2023	Cover Page	Report
01/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Alan D. Wagman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERCER ALLIED COMPANY, L.P.

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

M&T SECURITIES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

GOLDMAN SACHS WEALTH SERVICES, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/2010

SIE

Date: 9/13/2018

Series 7

Date: 6/21/1986

Series 24

Date: 1/7/2011

Series 9

Date: 1/31/2005

Series 10

Date: 1/13/2005

Series 4

Date: 3/28/2002

Series 53

Date: 10/8/1991

Current Firm

GOLDMAN SACHS WEALTH SERVICES, L.P.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GOLDMAN SACHS WEALTH SERVICES, L.P.

TRUST BUT VERIFY

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