Chad A. Wickliffe
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.
Chad Anthony Wickliffe was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1998. Chad had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2021 - July 18, 2025
GOLDMAN SACHS & CO. LLC
January 16, 2018 - August 13, 2021
SHELTON CAPITAL MANAGEMENT
January 12, 2018 - August 13, 2021
RFS PARTNERS
August 28, 2014 - September 22, 2017
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
June 26, 2014 - July 4, 2017
MORGAN STANLEY DISTRIBUTION, INC.
January 6, 2014 - May 22, 2014
ALPHAMAX DISTRIBUTORS, L.L.C.
May 18, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 22, 2006 - August 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2006 - August 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 2005 - May 5, 2006
GLOBAL TRANSITION SOLUTIONS, INC.
August 16, 2002 - December 31, 2004
KELMOORE INVESTMENT COMPANY, INC.
June 4, 2001 - September 2, 2001
KELMOORE INVESTMENT COMPANY, INC.
July 6, 1999 - May 29, 2001
BISYS SHELF B/D (1), INC.
September 3, 1998 - June 3, 1999
PRUDENTIAL EQUITY GROUP, LLC
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
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 | 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 | ||
| 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.
