Arpit Kumar Jain

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Contact Information

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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

8 years registered in the securities industry

Current & Past Employments

Current

GOLDMAN SACHS & CO. LLCCurrent·CRD# 361

RIA

BD

200 West Street, New York, NY 10282-2198

October 28, 2026 - Present

Past

J.P. MORGAN SECURITIES LLCPast·CRD# 79

RIA

New York, NY

August 30, 2018 - October 14, 2026

J.P. MORGAN SECURITIES LLCPast·CRD# 79

BD

New York, NY

March 23, 2018 - October 14, 2026

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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

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

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.

Entity Name: Rooh NY Inc. Investment related: No Address: 48 West 48th Street Suite 1405 New York, NY 10036 Nature of the other business: Jewelry Position/Title/Relationship: Owner/Partner Start Date: 11/21/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Retail Jewelry Sales Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

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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
(10/28/2026)

RR

Alaska
(10/28/2026)

RR

Arizona
(10/28/2026)

RR

Arkansas
(10/28/2026)

RR

California
(10/28/2026)

RR

Colorado
(10/28/2026)

RR

Connecticut
(10/28/2026)

RR

Delaware
(10/28/2026)

RR

District of Columbia
(10/28/2026)

RR

Florida
(10/28/2026)

RR

Georgia
(10/28/2026)

RR

Hawaii
(10/28/2026)

RR

Idaho
(10/28/2026)

RR

Illinois
(10/28/2026)

RR

Indiana
(10/28/2026)

RR

Iowa
(10/28/2026)

RR

Kansas
(10/28/2026)

RR

Kentucky
(10/28/2026)

RR

Louisiana
(10/28/2026)

RR

Maine
(10/28/2026)

RR

Maryland
(10/28/2026)

RR

Massachusetts
(10/28/2026)

RR

Michigan
(10/28/2026)

RR

Minnesota
(10/28/2026)

RR

Mississippi
(10/28/2026)

RR

Missouri
(10/28/2026)

RR

Montana
(10/28/2026)

RR

Nebraska
(10/28/2026)

RR

Nevada
(10/28/2026)

RR

New Hampshire
(10/28/2026)

RR

New Jersey
(10/28/2026)

RR

New Mexico
(10/28/2026)

RR

New York
(10/28/2026)

RR

North Carolina
(10/28/2026)

RR

North Dakota
(10/28/2026)

RR

Ohio
(10/28/2026)

RR

Oklahoma
(10/28/2026)

RR

Oregon
(10/28/2026)

RR

Pennsylvania
(10/28/2026)

RR

Puerto Rico
(10/28/2026)

RR

Rhode Island
(10/28/2026)

RR

South Carolina
(10/28/2026)

RR

South Dakota
(10/28/2026)

RR

Tennessee
(10/28/2026)

RR

Texas
(10/28/2026)

RR

Utah
(10/28/2026)

RR

Vermont
(10/28/2026)

RR

Virgin Islands
(10/28/2026)

RR

Virginia
(10/28/2026)

RR

Washington
(10/28/2026)

RR

West Virginia
(10/28/2026)

RR

Wisconsin
(10/28/2026)

RR

Wyoming
(10/28/2026)

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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Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

MX2 LLC

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

Nasdaq Texas, LLC

SRO Registrations

New York Stock Exchange

SRO Registrations

Texas Stock Exchange LLC

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Arpit Kumar Jain's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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Videos & Posts

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Contact Information

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Years of Experience

Current & Past Employments

Current

Past

Similar Advisors

Current Firm

Contact Information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory Assets Under Management

Disclosures

Accountant Surprise Examination Report

Similar Advisors

Other business activities

Similar Advisors

Primary Firm SEC Registration

State Registrations and Notice Filings

Exams

Series 66 — Uniform Combined State Law Examination

SIE — Securities Industry Essentials Examination

Series 7 — General Securities Representative Examination

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CRS (Client Relationship Summary) - BD

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