SS
Samuel D. Statham
GOLDMAN SACHS WEALTH SERVICES, L.P.
Cohoes, NY 12047
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CRD#: 7119583
SS
Professional summary
Samuel Dennis Statham, who also goes by Samuel D Statham, is a registered financial advisor currently at GOLDMAN SACHS WEALTH SERVICES, L.P. located in Cohoes, New York and MERCER ALLIED COMPANY, L.P. located in Cohoes, New York.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Samuel has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel D Statham
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.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Dennis Statham'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
October 12, 2022 - Present
GOLDMAN SACHS WEALTH SERVICES, L.P.
Office #1: 100 Coliseum Drive, Cohoes, NY 12047RIA
CRD#: 106693
Cohoes, NY
Current
October 12, 2022 - Present
MERCER ALLIED COMPANY, L.P.
Office #1: 100 Coliseum Drive, Cohoes, NY 12047BD
CRD#: 37404
Cohoes, NY
Past
August 23, 2022 - October 12, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
COHOES, NY
Past
April 12, 2021 - February 15, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Latham, NY
Past
October 2, 2020 - February 15, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LATHAM, NY
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".
GS
GOLDMAN SACHS WEALTH SERVICES, L.P.
GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT | THE AYCO COMPANY,L.P. | THE AYCO COMPANY, L.P. | GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
RIA
Registered Investment Advisory firm - (12/9/1994 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(8/23/2023)
RR
Alaska(8/23/2023)
RR
Arizona(8/23/2023)
RR
Arkansas(8/23/2023)
RR
California(8/23/2023)
RR
Colorado(8/23/2023)
RR
Connecticut(8/23/2023)
RR
Delaware(8/23/2023)
RR
District of Columbia(8/23/2023)
RR
Florida(8/23/2023)
RR
Georgia(8/23/2023)
RR
Hawaii(8/23/2023)
RR
Idaho(8/23/2023)
RR
Illinois(8/23/2023)
RR
Indiana(8/23/2023)
RR
Iowa(8/23/2023)
RR
Kansas(8/23/2023)
RR
Kentucky(8/23/2023)
RR
Louisiana(8/23/2023)
RR
Maine(8/23/2023)
RR
Maryland(8/23/2023)
RR
Massachusetts(8/23/2023)
RR
Michigan(8/23/2023)
RR
Minnesota(8/23/2023)
RR
Mississippi(8/23/2023)
RR
Missouri(8/23/2023)
RR
Montana(8/23/2023)
RR
Nebraska(8/23/2023)
RR
Nevada(8/23/2023)
RR
New Hampshire(8/23/2023)
RR
New Jersey(8/23/2023)
RR
New Mexico(8/23/2023)
RR
New York(10/12/2022)
IAR
New York(10/12/2022)
RR
North Carolina(8/23/2023)
RR
North Dakota(8/23/2023)
RR
Ohio(8/23/2023)
RR
Oklahoma(8/23/2023)
RR
Oregon(8/23/2023)
RR
Pennsylvania(8/23/2023)
RR
Puerto Rico(8/23/2023)
RR
Rhode Island(8/23/2023)
RR
South Carolina(8/23/2023)
RR
South Dakota(8/23/2023)
RR
Tennessee(8/23/2023)
RR
Texas(8/23/2023)
RR
Utah(8/23/2023)
RR
Vermont(8/23/2023)
RR
Virgin Islands(8/23/2023)
RR
Virginia(8/23/2023)
RR
Washington(8/23/2023)
RR
West Virginia(8/23/2023)
RR
Wisconsin(8/23/2023)
RR
Wyoming(8/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GOLDMAN SACHS WEALTH SERVICES, L.P.
GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT | THE AYCO COMPANY,L.P. | THE AYCO COMPANY, L.P. | GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
RIA
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Contact information
Main Address
100 Coliseum Drive, Cohoes, NY 12047
Mailing Address
P.o. Box 15201, Albany, NY 12212
Phone number
(518) 886-4000
Established
Firm type
Fiscal year end
# of Employees
1,809
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,477 |
| AUM (Assets Under Management) | $ 25,958,285,000 |
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.
