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RH

Richard I. Hempsell

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CRD#: 6001487
RH

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.

Richard Ian Hempsell, who also goes by Rich Ian Hempsell, Richard Hempsell, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2012. Richard had worked at 2 firms and has passed the SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich Ian Hempsell | Richard Hempsell

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 27, 2012 - June 12, 2017

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

August 2, 2012 - September 12, 2025

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 8/1/2012
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/10/2021
Financial and Operations Principal Examination

Current Firm

GS
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
GOLDMAN SACHS EXECUTION & CLEARING, L.P. | SPEAR, LEEDS & KELLOGG, L.P. | SPEAR, LEEDS & KELLOGG

CRD#: 3466 / SEC#: , 8-526

BD
Terminated by SEC on 08/11/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/31/1931
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE GOLDMAN SACHS GROUP, INC.LIMITED PARTNER
CHARTRES, JOHN HCHIEF FINANCIAL OFFICER4543106
CRIGHTON, ALICIA ANNECHIEF OPERATIONS OFFICER4643104
CZEPIEL, KYLE ROBERTCO-CHIEF EXECUTIVE OFFICER2360785
FUREY, TIMOTHY TODDCO-CHIEF EXECUTIVE OFFICER2609753
GOLDMAN SACHS HOLDING COMPANY LLCGENERAL PARTNER
JACK, KATHLEENCHIEF COMPLIANCE OFFICER2547676

Disclosures

Regulatory Event150
Arbitration1

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.

Company Information

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

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