Derrick E. Wenger

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CRD#: 1869743

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.

Derrick Eliot Wenger was a registered financial professional .

Derrick is a previously registered financial professional and started their career in finance in 1988. Derrick had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 86, Series 87 and Series 7 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

July 17, 2014 - November 2, 2016

GOLDMAN SACHS & CO. LLC

CRD#: 361

WEST PALM BEACH, FL

Past

October 11, 2012 - January 4, 2013

BONDS.COM LLC

CRD#: 43875

NEW YORK, NY

Past

September 18, 2007 - January 24, 2011

JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363

STAMFORD, CT

Past

June 27, 2000 - June 21, 2011

JEFFERIES LLC

CRD#: 2347

STAMFORD, CT

Past

December 24, 1996 - March 31, 2000

FOREST FULCRUM FUND L.P.

CRD#: 31133

OLD GREENWICH, CT

Past

June 29, 1989 - September 10, 1996

LIEBER & COMPANY

CRD#: 4163

WHITE PLAINS, NY

Past

October 19, 1988 - June 18, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/10/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 86

Date: 12/20/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 10/15/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative 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

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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Derrick E. Wenger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BONDS.COM LLC

JEFFERIES HIGH YIELD TRADING, LLC

JEFFERIES LLC

FOREST FULCRUM FUND L.P.

LIEBER & COMPANY

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/1998

Series 63

Date: 11/3/1988

SIE

Date: 11/2/2016

Series 3

Date: 9/10/2014

Series 86

Date: 12/20/2004

Series 87

Date: 10/15/2004

Series 7

Date: 10/15/1988

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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