Jarrett M. Schube
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.
Jarrett Michael Schube was a registered financial professional .
Jarrett is a previously registered financial professional and started their career in finance in 1993. Jarrett had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2011 - July 12, 2022
GOLDMAN SACHS & CO. LLC
January 1, 2010 - August 10, 2011
INVESCO ADVISERS, INC.
December 14, 2007 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
December 12, 2007 - August 10, 2011
INVESCO DISTRIBUTORS, INC.
January 21, 2003 - December 11, 2007
HIMCO DISTRIBUTION SERVICES COMPANY
January 25, 2001 - April 23, 2002
ADP BROKER-DEALER, INC.
May 2, 2000 - January 26, 2001
UBS FINANCIAL SERVICES INC.
July 13, 1994 - July 2, 1998
CITIGROUP GLOBAL MARKETS INC.
February 7, 1994 - July 11, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 20, 1993 - February 11, 1994
GKN SECURITIES CORP.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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.
