Bradley Wobig
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.
Bradley Wobig, who also goes by Bradley Gary Wobig, Brad Wobig, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1999. Bradley had worked at 10 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 3 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
January 4, 2021 - February 19, 2026
GOLDMAN SACHS & CO. LLC
January 30, 2020 - February 19, 2026
GOLDMAN SACHS WEALTH SERVICES, L.P.
January 30, 2020 - January 4, 2021
MERCER ALLIED COMPANY, L.P.
May 9, 2018 - October 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2018 - October 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2017 - December 21, 2017
SCOTTRADE INVESTMENT MANAGEMENT
April 26, 2005 - December 21, 2017
SCOTTRADE, INC.
February 6, 2004 - April 18, 2005
MB TRADING
September 13, 2001 - March 6, 2002
CUNA BROKERAGE SERVICES, INC.
November 16, 1999 - June 19, 2001
IDS LIFE INSURANCE COMPANY
November 16, 1999 - June 19, 2001
AMERIPRISE FINANCIAL SERVICES, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/23/2004
Limited Representative-Equity Trader ExamCurrent 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
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.
