James C. Fyffe

GOLDMAN SACHS CUSTODY SOLUTIONS

Mclean, VA 22102

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CRD#: 2619159

Professional summary

James Compeau Fyffe is a registered financial professional currently at GOLDMAN SACHS CUSTODY SOLUTIONS located in Mclean, Virginia.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 31, Series 4, Series 24 and Series 27 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) - BD

Click below to view James Compeau Fyffe's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 12, 2014 - Present

GOLDMAN SACHS CUSTODY SOLUTIONS

Office #1: 8180 Greensboro Dr 8th Floor, Mclean, VA 22102

CRD#: 48015

Mclean, VA

Past

January 11, 2010 - September 9, 2014

E*TRADE SECURITIES LLC

CRD#: 29106

ARLINGTON, VA

Past

September 3, 2002 - September 9, 2014

E*TRADE CLEARING LLC

CRD#: 25025

ARLINGTON, VA

Past

July 22, 1998 - September 3, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

June 22, 1995 - April 8, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Virginia
(9/12/2014)

Exams

State Security Law Exam

Series 63

Date: 10/22/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/21/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1998

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 7/7/1995

Futures Managed Funds Examination

Principal/Supervisory Exam

Series 4

Date: 3/10/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/15/1998

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015 / SEC#: , 8-52009

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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James C. Fyffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Compeau Fyffe's CRS (Customer Relationship Summary).

Certified licenses

Experience

E*TRADE SECURITIES LLC

E*TRADE CLEARING LLC

E*TRADE SECURITIES LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/1998

Series 65

Date: 7/21/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1998

Series 31

Date: 7/7/1995

Series 4

Date: 3/10/1999

Series 24

Date: 2/25/1999

Series 27

Date: 7/15/1998

FINRA

Nasdaq Stock Market

Current Firm

GOLDMAN SACHS CUSTODY SOLUTIONS

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GOLDMAN SACHS CUSTODY SOLUTIONS

TRUST BUT VERIFY

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