James Kelly Iii

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CRD#: 1638228

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.

James Kelly Iii, who also goes by (iii) James Kelly, James Kelly III, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 55, Series 12 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

(iii) James Kelly | James Kelly Iii

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

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CRD#: 16139

NEW YORK, NY

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 & CO. LLC

GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")

CRD#: 361 / SEC#: 801-16048, 8-129

RIA

Registered Investment Advisory firm - SEC (5/13/1981 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/1999

General Securities Principal Examination

Current Firm

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")

CRD#: 361 / SEC#: 801-16048, 8-129

RIA

Registered Investment Advisory firm - SEC (5/13/1981 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

200 West Street, New York, NY 10282

Mailing Address

111 South Main Street, Salt Lake City, UT 84111

Phone number

(212) 902-1000

Established

New York since 01/03/1927

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

3,704

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - THIRD PARTY DISTRIBUTION (6/25/2025)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - MANAGED ACCOUNT STRATEGIES (6/4/2025)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - GSAM PRIVATE (3/28/2025)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - PRIVATE WEALTH MANAGEMENT (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
THE GOLDMAN SACHS GROUP, INC.	CLASS A MEMBER
COLEMAN, DENIS PATRICK III	MANAGING DIRECTOR, MANAGER	2782373
DOYLE, BRIAN RICHARD	MANAGING DIRECTOR, CFO	6003685
GREEFF, BRIAN MICHAEL	CO-PRINCIPAL OPERATIONS OFFICER	4273392
MATTHIAS, THOMAS FAIRBANKS	CHIEF COMPLIANCE OFFICER	2872690
MCCASKILL, MARK	MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER	3272131
RUEMMLER, KATHRYN HELEN	MANAGING DIRECTOR, CLO, MANAGER	7250761
SOLOMON, DAVID MICHAEL	MANAGING DIRECTOR, MANAGER	1616414
VENEZIA, CARMINE ANTHONY	CHIEF COMPLIANCE OFFICER	4117304
WALDRON, JOHN EDWARD	MANAGING DIRECTOR, CEO, MANAGER	2569337

Regulatory assets under management

Total Number of Accounts	42,138
AUM (Assets Under Management)	$ 233,155,693,023

Disclosures

Regulatory Event	409
Civil Event	4
Arbitration	20

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

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James Kelly Iii

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

TLW SECURITIES, LLC

OCEAN BROKERAGE LLC

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

Primary Firm SEC Registration

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/2002

SIE

Date: 6/5/2018

Series 3

Date: 2/27/2006

Series 7

Date: 10/1/2000

Series 55

Date: 6/28/2000

Series 12

Date: 10/1/2000

Series 24

Date: 5/6/1999

Current Firm

GOLDMAN SACHS & CO. LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

GOLDMAN SACHS & CO. LLC

TRUST BUT VERIFY

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