SL
Shelley M. Luks
MERCER ALLIED COMPANY, L.P.
Cohoes, NY 12047
Some features on this profile are disabled
CRD#: 6004389
SL
Professional summary
Shelley M Luks, who also goes by Shelley M. Luks, Shelley M Luks, Shelley M M Luks, Shelley Jean Moy, is a registered financial professional currently at MERCER ALLIED COMPANY, L.P. located in Cohoes, New York and GOLDMAN SACHS & CO. LLC located in New York, New York.
Shelley is registered as a RR (Registered Representative) and started their career in finance in 2012. Shelley has worked at 2 firms and has passed the SIE, Series 99 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Shelley M. Luks | Shelley M Luks | Shelley M M Luks | Shelley Jean Moy
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 Shelley M Luks'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
August 1, 2012 - Present
MERCER ALLIED COMPANY, L.P.
Office #1: 100 Coliseum Drive, Cohoes, NY 12047BD
CRD#: 37404
Cohoes, NY
Current
August 1, 2012 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 200 West Street, New York, NY 10282-2198RIA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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 | 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.
