SR
Salveen J. Richter
GOLDMAN SACHS & CO. LLC
New York, NY 10282-2198
Some features on this profile are disabled
CRD#: 4589323
SR
Professional summary
Salveen Jaswal Richter, who also goes by Salveen Jaswal Kochnover, Salveen Kaur Kochnover, Salveen Kaur Richter, is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in New York, New York.
Salveen is registered as a RR (Registered Representative) and started their career in finance in 2002. Salveen has worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Salveen Jaswal Kochnover | Salveen Kaur Kochnover | Salveen Kaur Richter
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 Salveen Jaswal Richter'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
October 27, 2015 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 200 West Street, New York, NY 10282-2198RIA
BD
CRD#: 361
New York, NY
Past
June 20, 2014 - July 30, 2015
TRUIST SECURITIES, INC.
BD
CRD#: 6271
NEW YORK, NY
Past
March 27, 2012 - June 20, 2014
CANACCORD GENUITY LLC
BD
CRD#: 1020
NEW YORK, NY
Past
June 26, 2008 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
April 9, 2004 - June 23, 2008
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
October 16, 2002 - January 9, 2003
CAPSTONE INVESTMENTS
BD
CRD#: 41400
SAN DIEGO, 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
Alabama(10/7/2016)
RR
Alaska(10/7/2016)
RR
Arizona(10/7/2016)
RR
Arkansas(10/7/2016)
RR
California(10/7/2016)
RR
Colorado(10/7/2016)
RR
Connecticut(10/7/2016)
RR
Delaware(10/7/2016)
RR
District of Columbia(10/7/2016)
RR
Florida(10/7/2016)
RR
Georgia(10/7/2016)
RR
Hawaii(10/7/2016)
RR
Idaho(10/7/2016)
RR
Illinois(10/7/2016)
RR
Indiana(10/7/2016)
RR
Iowa(10/7/2016)
RR
Kansas(10/7/2016)
RR
Kentucky(10/7/2016)
RR
Louisiana(10/7/2016)
RR
Maine(10/7/2016)
RR
Maryland(10/7/2016)
RR
Massachusetts(10/7/2016)
RR
Michigan(10/7/2016)
RR
Minnesota(10/7/2016)
RR
Mississippi(10/7/2016)
RR
Missouri(10/7/2016)
RR
Montana(10/7/2016)
RR
Nebraska(10/7/2016)
RR
Nevada(10/7/2016)
RR
New Hampshire(10/7/2016)
RR
New Jersey(10/7/2016)
RR
New Mexico(10/7/2016)
RR
New York(10/27/2015)
RR
North Carolina(10/10/2016)
RR
North Dakota(10/7/2016)
RR
Ohio(10/7/2016)
RR
Oklahoma(10/7/2016)
RR
Oregon(10/7/2016)
RR
Pennsylvania(10/7/2016)
RR
Puerto Rico(10/7/2016)
RR
Rhode Island(10/7/2016)
RR
South Carolina(10/7/2016)
RR
South Dakota(10/7/2016)
RR
Tennessee(10/7/2016)
RR
Texas(10/7/2016)
RR
Utah(10/7/2016)
RR
Vermont(10/7/2016)
RR
Virgin Islands(10/7/2016)
RR
Virginia(10/7/2016)
RR
Washington(10/7/2016)
RR
West Virginia(10/7/2016)
RR
Wisconsin(10/7/2016)
RR
Wyoming(10/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
