Charles Nathan Ill

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

14 years registered in the securities industry

Current & Past Employments

Current

GOLDMAN SACHS & CO. LLCCurrent·CRD# 361

RIA

BD

401 Union Street Suite 37, Seattle, WA 98101

August 20, 2012 - Present

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

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)

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

2,268

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - PRIVATE WEALTH MANAGEMENT (3/31/2026)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - THIRD PARTY DISTRIBUTION (3/31/2026)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - MANAGED ACCOUNT STRATEGIES (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
THE GOLDMAN SACHS GROUP, INC.	CLASS A MEMBER	—
BOSWORTH, MICHAEL SCOTT	MANAGING DIRECTOR, GENERAL COUNSEL, MANAGER	7631615
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
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

46,269

AUM (Assets Under Management)

$133,644,228,926

Disclosures

Regulatory Event

416

Civil Event

4

Arbitration

20

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/25/2026	Cover Page	Report
10/24/2025	Cover Page	Report
09/25/2024	Cover Page	Report
11/17/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(1/22/2014)

RR

Alaska
(8/22/2012)

RR

Arizona
(8/22/2012)

RR

Arkansas
(1/22/2014)

RR

California
(8/22/2012)

RR

Colorado
(8/22/2012)

RR

Connecticut
(1/22/2014)

RR

Delaware
(8/22/2012)

RR

District of Columbia
(8/22/2012)

RR

Florida
(8/22/2012)

RR

Georgia
(8/22/2012)

RR

Hawaii
(8/22/2012)

RR

Idaho
(8/22/2012)

RR

Illinois
(8/22/2012)

RR

Indiana
(1/22/2014)

RR

Iowa
(1/22/2014)

RR

Kansas
(1/22/2014)

RR

Kentucky
(7/17/2013)

RR

Louisiana
(8/22/2012)

RR

Maine
(1/22/2014)

RR

Maryland
(8/22/2012)

RR

Massachusetts
(1/22/2014)

RR

Michigan
(1/22/2014)

RR

Minnesota
(1/22/2014)

RR

Mississippi
(1/22/2014)

RR

Missouri
(1/22/2014)

RR

Montana
(8/22/2012)

RR

Nebraska
(1/22/2014)

RR

Nevada
(8/22/2012)

RR

New Hampshire
(1/22/2014)

RR

New Jersey
(8/22/2012)

RR

New Mexico
(1/22/2014)

RR

New York
(8/31/2012)

RR

North Carolina
(8/23/2012)

RR

North Dakota
(1/22/2014)

RR

Ohio
(8/22/2012)

RR

Oklahoma
(1/22/2014)

RR

Oregon
(8/22/2012)

RR

Pennsylvania
(1/22/2014)

RR

Puerto Rico
(1/22/2014)

RR

Rhode Island
(1/22/2014)

RR

South Carolina
(1/22/2014)

RR

South Dakota
(1/22/2014)

RR

Tennessee
(1/22/2014)

RR

Texas
(8/22/2012)

RR

Utah
(8/22/2012)

RR

Vermont
(1/22/2014)

RR

Virgin Islands
(1/22/2014)

RR

Virginia
(1/22/2014)

RR

Washington
(8/20/2012)

RR

West Virginia
(1/22/2014)

RR

Wisconsin
(1/22/2014)

RR

Wyoming
(8/22/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Charles Nathan Ill's CRS (Customer Relationship Summary).

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