Emma E. Broos

GOLDMAN SACHS & CO. LLC

Atlanta, GA 30326

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CRD#: 6967191

Professional summary

Emma Elizabeth Broos is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in Atlanta, Georgia.

Emma is registered as a RR (Registered Representative) and started their career in finance in 2020. Emma has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, Series 99TO, Series 82TO, Series 22TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Emma Elizabeth Broos's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 2, 2025 - Present

GOLDMAN SACHS & CO. LLC

Office #1: 3550 Peachtree Road, Ne Suite 1000, Atlanta, GA 30326

RIA

CRD#: 361

Atlanta, GA

Past

November 28, 2022 - June 24, 2025

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

Atlanta, GA

Past

November 28, 2022 - June 24, 2025

RBC CAPITAL MARKETS, LLC

CRD#: 31194

Atlanta, GA

Past

April 15, 2021 - November 28, 2022

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Willernie, MN

Past

September 22, 2020 - November 28, 2022

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Willernie, MN

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)

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.

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

Alabama
(7/2/2025)

Alaska
(7/2/2025)

Arizona
(7/2/2025)

Arkansas
(7/2/2025)

California
(7/2/2025)

Colorado
(7/2/2025)

Connecticut
(7/2/2025)

Delaware
(7/2/2025)

District of Columbia
(7/2/2025)

Florida
(7/2/2025)

Georgia
(7/2/2025)

Hawaii
(7/2/2025)

Idaho
(7/2/2025)

Illinois
(7/2/2025)

Indiana
(7/2/2025)

Iowa
(7/2/2025)

Kansas
(7/2/2025)

Kentucky
(7/2/2025)

Louisiana
(7/2/2025)

Maine
(7/2/2025)

Maryland
(7/2/2025)

Massachusetts
(7/2/2025)

Michigan
(7/2/2025)

Minnesota
(7/2/2025)

Mississippi
(7/2/2025)

Missouri
(7/2/2025)

Montana
(7/2/2025)

Nebraska
(7/2/2025)

Nevada
(7/2/2025)

New Hampshire
(7/2/2025)

New Jersey
(7/2/2025)

New Mexico
(7/2/2025)

New York
(7/2/2025)

North Carolina
(7/2/2025)

North Dakota
(7/2/2025)

Ohio
(7/2/2025)

Oklahoma
(7/2/2025)

Oregon
(7/2/2025)

Pennsylvania
(7/2/2025)

Puerto Rico
(7/2/2025)

Rhode Island
(7/2/2025)

South Carolina
(7/2/2025)

South Dakota
(7/2/2025)

Tennessee
(7/2/2025)

Texas
(7/2/2025)

Utah
(7/2/2025)

Vermont
(7/2/2025)

Virgin Islands
(7/2/2025)

Virginia
(7/2/2025)

Washington
(7/2/2025)

West Virginia
(7/2/2025)

Wisconsin
(7/2/2025)

Wyoming
(7/2/2025)

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

State Security Law Exam

IAR

Series 65

Date: 4/14/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 7TO

Date: 9/22/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/24/2020

Securities Industry Essentials Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

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

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 BX, 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

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - THIRD PARTY DISTRIBUTION (6/25/2025)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - MANAGED ACCOUNT STRATEGIES (6/4/2025)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - GSAM PRIVATE (3/28/2025)

GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - PRIVATE WEALTH MANAGEMENT (3/28/2025)

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	Cover Page	Report
09/25/2024	Cover Page	Report
11/17/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Emma E. Broos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Emma Elizabeth Broos's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/14/2021

Series 63

Date: 10/15/2020

Series 6TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

Series 7TO

Date: 9/22/2020

SIE

Date: 8/24/2020

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

GOLDMAN SACHS & CO. LLC

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

Red Flags

Company Information

GOLDMAN SACHS & CO. LLC

TRUST BUT VERIFY

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