Nina Karbaum
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.
Nina Karbaum, CFP®, who also goes by Nina A Karbaum, Nina Arlene Karbaum, Nina Arlene Robinson, was a registered financial professional .
Nina is a previously registered financial professional and started their career in finance in 2012. Nina had worked at 7 firms and has passed the Series 63, Series 65, Series 3, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2019 - August 26, 2022
GOLDMAN SACHS & CO. LLC
December 3, 2019 - August 26, 2022
GOLDMAN SACHS WEALTH SERVICES, L.P.
December 3, 2019 - August 26, 2022
MERCER ALLIED COMPANY, L.P.
July 21, 2016 - November 27, 2019
BB&T SECURITIES, LLC
July 21, 2016 - November 27, 2019
BB&T SECURITIES, LLC
April 17, 2015 - July 14, 2016
LPL FINANCIAL LLC
April 16, 2015 - July 14, 2016
LPL FINANCIAL LLC
July 8, 2014 - March 6, 2015
BB&T SECURITIES, LLC
July 8, 2014 - March 6, 2015
BB&T SECURITIES, LLC
May 5, 2014 - July 1, 2014
THOMPSON DAVIS & CO., INC.
May 24, 2013 - July 1, 2014
THOMPSON DAVIS & CO., INC.
September 28, 2012 - April 4, 2013
B&C FINANCIAL ADVISORS
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
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 | 41,782 |
| AUM (Assets Under Management) | $ 114,897,715,726 |
Disclosures
| Regulatory Event | 409 |
| 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 |
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.
