AP
Andrew C. Peterson
GOLDMAN SACHS & CO. LLC
Dallas, TX 75201
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CRD#: 6555328
AP
Professional summary
Andrew Charles Peterson, who also goes by Andrew Chales Peterson, Andrew Peterson, is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in Dallas, Texas.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2015. Andrew has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7TO, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Chales Peterson | Andrew Peterson
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.
OBA-103418|OrgNmn:DoorDash|Org Addr:Fort Worth,Texas,US|OBA Nature:Food delivery for DoorDash|Invst Rel:N|Title:Independent Contractor|Duties:delivering food|StrtDt:11-14-24|TotHrs/mon:20|TrdHrs/mon:0|OBA-109624|OrgNmn:FreedomPark|Org Addr:Irving ,Texas,US|OBA Nature:Valet Company|Invst Rel:N|Title:Employee|Duties:Park cars for airport guests|StrtDt:|TotHrs/mon:100|TrdHrs/mon:0|
CRS (Client Relationship Summary) - BD
Click below to view Andrew Charles Peterson'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
September 18, 2025 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 2001 Ross Avenue Suite 2800, Dallas, TX 75201RIA
BD
CRD#: 361
Dallas, TX
Past
March 31, 2025 - May 1, 2025
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
FORT WORTH, TX
Past
July 11, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
WACO, TX
Past
December 20, 2021 - May 1, 2025
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Past
October 9, 2020 - December 3, 2021
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Austin, TX
Past
February 15, 2016 - August 3, 2016
EDWARD JONES
RIA
CRD#: 250
BASTROP, TX
Past
November 2, 2015 - August 3, 2016
EDWARD JONES
BD
CRD#: 250
BASTROP, TX
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(9/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/9/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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 | 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 | ||
| 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.
Company Information
GOLDMAN SACHS & CO. LLC
CRD#: 361Dallas, TX 75201TRUST BUT VERIFY
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