AS
Adam J. Siegler
GOLDMAN SACHS & CO. LLC
New York, NY 10282-2198
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CRD#: 5112351
AS
Professional summary
Adam James Siegler, who also goes by Adam Siegler, is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in New York, New York and GOLDMAN SACHS CUSTODY SOLUTIONS located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2006. Adam has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Adam Siegler
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 Adam James Siegler'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 13, 2018 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 200 West Street, New York, NY 10282-2198RIA
BD
CRD#: 361
New York, NY
Current
October 15, 2020 - Present
GOLDMAN SACHS CUSTODY SOLUTIONS
Office #1: 200 West Street, New York, NY 10282BD
CRD#: 48015
New York, NY
Past
September 22, 2008 - June 11, 2018
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
June 7, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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(6/13/2018)
RR
Alaska(6/13/2018)
RR
Arizona(6/13/2018)
RR
Arkansas(6/13/2018)
RR
California(6/13/2018)
RR
Colorado(6/13/2018)
RR
Connecticut(6/13/2018)
RR
Delaware(6/13/2018)
RR
District of Columbia(6/13/2018)
RR
Florida(6/13/2018)
RR
Georgia(6/13/2018)
RR
Hawaii(6/13/2018)
RR
Idaho(6/13/2018)
RR
Illinois(6/13/2018)
RR
Indiana(6/13/2018)
RR
Iowa(6/13/2018)
RR
Kansas(6/13/2018)
RR
Kentucky(6/13/2018)
RR
Louisiana(6/13/2018)
RR
Maine(6/13/2018)
RR
Maryland(6/13/2018)
RR
Massachusetts(6/13/2018)
RR
Michigan(6/13/2018)
RR
Minnesota(6/13/2018)
RR
Mississippi(6/13/2018)
RR
Missouri(6/13/2018)
RR
Montana(6/13/2018)
RR
Nebraska(6/13/2018)
RR
Nevada(6/13/2018)
RR
New Hampshire(6/13/2018)
RR
New Jersey(6/13/2018)
RR
New Mexico(6/13/2018)
RR
New York(6/13/2018)
RR
North Carolina(6/13/2018)
RR
North Dakota(6/13/2018)
RR
Ohio(6/13/2018)
RR
Oklahoma(6/13/2018)
RR
Oregon(6/13/2018)
RR
Pennsylvania(6/13/2018)
RR
Puerto Rico(6/13/2018)
RR
Rhode Island(6/13/2018)
RR
South Carolina(6/13/2018)
RR
South Dakota(6/13/2018)
RR
Tennessee(2/21/2019)
RR
Texas(6/13/2018)
RR
Utah(6/13/2018)
RR
Vermont(6/13/2018)
RR
Virgin Islands(6/13/2018)
RR
Virginia(6/13/2018)
RR
Washington(6/13/2018)
RR
West Virginia(6/13/2018)
RR
Wisconsin(6/13/2018)
RR
Wyoming(6/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
GS
GOLDMAN SACHS CUSTODY SOLUTIONS
DIRECTINDEXER | VIA FOLIO | GOLDMAN SACHS CUSTODY SOLUTIONS | FOLIO[FN] INVESTMENTS, INC. | FOLIOTRADE BROKERAGE LLC | FOLIOFN INVESTMENTS, INC. | FOLIOFIRST | FOLIO RESEARCH, LLC | FOLIO RESEARCH | FOLIO INVESTMENTS, INC. | FOLIO INVESTING | FOLIO INSTITUTIONAL | FOLIO CLIENT
CRD#: 48015 / SEC#: , 8-52009
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Mailing Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Phone number
(703) 245-4000
Established
Virginia since 01/10/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
