KC
Kenneth P. Courtney
GOLDMAN SACHS CUSTODY SOLUTIONS
New York, NY 10282
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CRD#: 1858429
KC
Professional summary
Kenneth Patrick Courtney, who also goes by Kenneth P Courtney, is a registered financial professional currently at GOLDMAN SACHS CUSTODY SOLUTIONS located in New York, New York.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1995. Kenneth has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kenneth P Courtney
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.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Patrick Courtney's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 10, 2021 - Present
GOLDMAN SACHS CUSTODY SOLUTIONS
Office #1: 200 West Street, New York, NY 10282BD
CRD#: 48015
New York, NY
Past
June 1, 2006 - July 16, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Jersey City, NJ
Past
March 24, 2006 - October 12, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
JERSEY CITY, NJ
Past
July 26, 1995 - October 12, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/10/2021)
RR
Alaska(11/10/2021)
RR
Arizona(11/10/2021)
RR
Arkansas(11/10/2021)
RR
California(11/10/2021)
RR
Colorado(11/10/2021)
RR
Connecticut(11/10/2021)
RR
Delaware(11/10/2021)
RR
District of Columbia(11/10/2021)
RR
Florida(11/10/2021)
RR
Georgia(11/10/2021)
RR
Hawaii(11/10/2021)
RR
Idaho(11/10/2021)
RR
Illinois(11/10/2021)
RR
Indiana(11/10/2021)
RR
Iowa(11/10/2021)
RR
Kansas(11/10/2021)
RR
Kentucky(11/10/2021)
RR
Louisiana(11/10/2021)
RR
Maine(11/10/2021)
RR
Maryland(11/10/2021)
RR
Massachusetts(11/10/2021)
RR
Michigan(11/10/2021)
RR
Minnesota(11/10/2021)
RR
Mississippi(11/10/2021)
RR
Missouri(11/10/2021)
RR
Montana(11/10/2021)
RR
Nebraska(11/10/2021)
RR
Nevada(11/10/2021)
RR
New Hampshire(11/10/2021)
RR
New Jersey(11/10/2021)
RR
New Mexico(11/10/2021)
RR
New York(11/10/2021)
RR
North Carolina(11/10/2021)
RR
North Dakota(11/10/2021)
RR
Ohio(11/10/2021)
RR
Oklahoma(11/10/2021)
RR
Oregon(11/10/2021)
RR
Pennsylvania(11/10/2021)
RR
Puerto Rico(11/10/2021)
RR
Rhode Island(11/10/2021)
RR
South Carolina(11/10/2021)
RR
South Dakota(11/10/2021)
RR
Tennessee(11/10/2021)
RR
Texas(11/10/2021)
RR
Utah(11/10/2021)
RR
Vermont(11/10/2021)
RR
Virgin Islands(11/10/2021)
RR
Virginia(11/10/2021)
RR
Washington(11/10/2021)
RR
West Virginia(11/10/2021)
RR
Wisconsin(11/10/2021)
RR
Wyoming(11/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/21/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GS
GOLDMAN SACHS CUSTODY SOLUTIONS
DIRECTINDEXER | VIA FOLIO | GOLDMAN SACHS CUSTODY SOLUTIONS | FOLIO[FN] INVESTMENTS, INC. | FOLIOTRADE BROKERAGE LLC | FOLIOFN INVESTMENTS, INC. | FOLIOFIRST | FOLIO RESEARCH, LLC | FOLIO RESEARCH | FOLIO INVESTMENTS, INC. | FOLIO INVESTING | FOLIO INSTITUTIONAL | FOLIO CLIENT
CRD#: 48015 / SEC#: , 8-52009
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Mailing Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Phone number
(703) 245-4000
Established
Virginia since 01/10/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
