Mamta Trivedi
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.
Mamta Trivedi, who also goes by Mamta C. Patel, Mamta Patel, Mamta C. Trivedi, was a registered financial professional .
Mamta is a previously registered financial professional and started their career in finance in 2009. Mamta had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
June 16, 2022 - January 10, 2025
GOLDMAN SACHS & CO. LLC
June 17, 2021 - June 6, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 25, 2021 - May 23, 2022
FIDELITY BROKERAGE SERVICES LLC
May 1, 2020 - May 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2020 - May 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2019 - April 16, 2020
HSBC SECURITIES (USA) INC.
November 15, 2019 - April 16, 2020
HSBC SECURITIES (USA) INC.
March 7, 2019 - November 7, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 11, 2019 - November 6, 2019
FIDELITY BROKERAGE SERVICES LLC
October 3, 2016 - January 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2016 - January 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2016 - September 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2016 - September 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2014 - July 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2013 - July 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - February 12, 2013
J.P. MORGAN SECURITIES LLC
December 13, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 17, 2009 - November 2, 2011
BANCWEST INVESTMENT SERVICES, INC.
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 | 408 |
| 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.
