MS
Michael W. Schafer
GOLDMAN SACHS & CO. LLC
Chicago, IL 60606
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CRD#: 4603679
MS
Professional summary
Michael Walter Schafer is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 4 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Walter Schafer'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
June 11, 2024 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 71 South Wacker Drive Suite 1200, Chicago, IL 60606RIA
BD
CRD#: 361
Chicago, IL
Past
July 20, 2020 - October 12, 2023
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
December 11, 2015 - January 13, 2020
MORGAN STANLEY
RIA
CRD#: 149777
CHICAGO, IL
Past
December 11, 2015 - January 13, 2020
MORGAN STANLEY
BD
CRD#: 149777
CHICAGO, IL
Past
September 21, 2011 - December 10, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
CHICAGO, IL
Past
March 25, 2011 - December 10, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
CHICAGO, IL
Past
December 19, 2002 - March 29, 2011
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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(6/11/2024)
RR
Alaska(6/11/2024)
RR
Arizona(6/11/2024)
RR
Arkansas(6/11/2024)
RR
California(6/11/2024)
RR
Colorado(6/11/2024)
RR
Connecticut(6/11/2024)
RR
Delaware(6/11/2024)
RR
District of Columbia(6/11/2024)
RR
Florida(6/11/2024)
RR
Georgia(6/11/2024)
RR
Hawaii(6/11/2024)
RR
Idaho(6/11/2024)
RR
Illinois(6/11/2024)
RR
Indiana(6/11/2024)
RR
Iowa(6/11/2024)
RR
Kansas(6/11/2024)
RR
Kentucky(6/11/2024)
RR
Louisiana(6/11/2024)
RR
Maine(6/11/2024)
RR
Maryland(6/11/2024)
RR
Massachusetts(6/11/2024)
RR
Michigan(6/11/2024)
RR
Minnesota(6/11/2024)
RR
Mississippi(6/11/2024)
RR
Missouri(6/11/2024)
RR
Montana(6/11/2024)
RR
Nebraska(6/11/2024)
RR
Nevada(6/11/2024)
RR
New Hampshire(6/11/2024)
RR
New Jersey(6/11/2024)
RR
New Mexico(6/11/2024)
RR
New York(6/11/2024)
RR
North Carolina(6/11/2024)
RR
North Dakota(6/11/2024)
RR
Ohio(6/12/2024)
RR
Oklahoma(6/11/2024)
RR
Oregon(6/11/2024)
RR
Pennsylvania(6/11/2024)
RR
Puerto Rico(6/11/2024)
RR
Rhode Island(6/11/2024)
RR
South Carolina(6/11/2024)
RR
South Dakota(6/11/2024)
RR
Tennessee(6/11/2024)
RR
Texas(6/11/2024)
RR
Utah(6/11/2024)
RR
Vermont(6/11/2024)
RR
Virgin Islands(6/11/2024)
RR
Virginia(6/11/2024)
RR
Washington(6/11/2024)
RR
West Virginia(6/11/2024)
RR
Wisconsin(6/11/2024)
RR
Wyoming(6/11/2024)
Exams
State Security Law Exam
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.
