NC
Norm D. Crisostomo
GOLDMAN SACHS & CO. LLC
New York, NY 10282-2198
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CRD#: 2805537
NC
Professional summary
Norm D Crisostomo, who also goes by Norman D Crisostomo, Norman Dindo Crisostomo, is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in New York, New York.
Norm is registered as a RR (Registered Representative) and started their career in finance in 1996. Norm has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Norman D Crisostomo | Norman Dindo Crisostomo
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 Norm D Crisostomo'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
January 28, 2026 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 200 West Street, New York, NY 10282-2198RIA
BD
CRD#: 361
New York, NY
Past
May 20, 2020 - March 10, 2023
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Scottsdale, AZ
Past
November 6, 2018 - January 2, 2020
NEXPOINT SECURITIES, INC.
BD
CRD#: 165013
DALLAS, TX
Past
October 26, 2009 - September 20, 2018
AUGUSTAR DISTRIBUTORS, INC.
BD
CRD#: 41081
CINCINNATI, OH
Past
April 9, 2008 - June 10, 2009
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
February 15, 2007 - April 7, 2008
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 13, 2006 - February 12, 2007
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
May 17, 2004 - March 27, 2006
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
ORANGE, CA
Past
March 5, 2004 - March 27, 2006
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
ORANGE, CA
Past
June 5, 2000 - March 11, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ORANGE, CA
Past
April 28, 2000 - March 11, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 10, 1998 - May 17, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 13, 1997 - June 15, 1998
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
PORTLAND, OR
Past
December 3, 1996 - October 17, 1997
WALDRON & CO., INC.
BD
CRD#: 868
IRVINE, CA
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)BD
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.
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
Arizona(1/29/2026)
RR
Colorado(1/30/2026)
RR
Connecticut(2/9/2026)
RR
District of Columbia(1/28/2026)
RR
Florida(1/28/2026)
RR
Idaho(1/29/2026)
RR
Illinois(1/28/2026)
RR
Kentucky(1/28/2026)
RR
Louisiana(1/30/2026)
RR
Maryland(2/5/2026)
RR
Michigan(1/28/2026)
RR
Minnesota(1/28/2026)
RR
Mississippi(1/28/2026)
RR
Montana(1/28/2026)
RR
Nebraska(1/28/2026)
RR
New Jersey(1/28/2026)
RR
Oklahoma(1/28/2026)
RR
South Carolina(1/28/2026)
RR
South Dakota(1/28/2026)
RR
Texas(1/28/2026)
RR
Washington(1/28/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)BD
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
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 | 41,782 |
| AUM (Assets Under Management) | $ 114,897,715,726 |
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 | ||
| 09/25/2024 | ||
| 11/17/2023 |
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.
