Robert B. Northcutt
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.
Robert Brian Northcutt was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 6, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2020 - June 14, 2023
GOLDMAN SACHS & CO. LLC
January 25, 2019 - September 1, 2020
CETERA WEALTH SERVICES, LLC
September 15, 2017 - June 14, 2023
UNITED CAPITAL FINANCIAL ADVISORS
August 16, 2013 - May 9, 2014
PROSPERA FINANCIAL SERVICES, INC.
February 26, 2001 - August 10, 2004
NATIONAL FINANCIAL SERVICES LLC
September 22, 1995 - March 12, 2010
FIDELITY BROKERAGE SERVICES LLC
February 15, 1994 - January 13, 1995
CITISTREET EQUITIES LLC
October 12, 1993 - February 1, 1994
FIDELITY BROKERAGE SERVICES LLC
August 26, 1993 - October 7, 1993
FIDELITY DISTRIBUTORS CORPORATION
September 10, 1990 - September 28, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/25/2019
General Securities Representative ExaminationSeries 8
Date: 1/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
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 | 408 |
| Civil Event | 4 |
| Arbitration | 20 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
