Details

GOLDMAN SACHS & CO LLC NFA ID: 0002014

 Current Status 
• SWAP FIRM APPROVED 
• SWAP DEALER PROVISIONALLY REGISTERED 
• COMMODITY POOL OPERATOR REGISTERED 
• COMMODITY TRADING ADVISOR REGISTERED 
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• NFA MEMBER APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
GOLDMAN SACHS PARIS INC ET CIE 
• PRINCIPAL APPROVED 
 Exemptions and No Actions 
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 FCM Financial Information 
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 Firm Activity Status 
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
 Regulatory Actions 
 AgencyNumber
NFA0
CFTC2
Exchanges48
details...
 NFA Arbitration Decisions 
 RoleNumber
Claimant0
Respondent0
details...
 CFTC Reparations Cases 
Total1
details...
 Formerly Known As 
• GOLDMAN SACHS & CO
 Business Address 
200 WEST STREET
NEW YORK, NY  10282
UNITED STATES
(212) 902-1000
 Doing Business As 
No other names
 Listed Principals 
 Listed Principal Name Title(s) 10% or More
Financial Interest
JOHN H CHARTRESNO LISTED TITLE
NO
RAMON MARTIN CHAVEZMANAGER-LLC OR LLP
NO
MICHAEL CHARLES DAWLEYDIRECTOR
NO
RICHARD ALAN FRIEDMANHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JUSTIN GERALD GMELICHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
GOLDMAN SACHS GROUP INC THE
YES
DAVID HERRMANNCHIEF COMPLIANCE OFFICER
NO
BRIAN J LEECHIEF FINANCIAL OFFICER
NO
PAUL MARTIN RUSSOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JEFFREY WILLIAM SCHROEDERMANAGER-LLC OR LLP
NO
HARVEY MITCHELL SCHWARTZCHIEF EXECUTIVE OFFICER
NO
MICHAEL LORD SIMPSONNO LISTED TITLE
NO
DAVID MICHAEL SOLOMONMANAGER-LLC OR LLP
NO
 History 
 Status Effective Date
• SWAP FIRM APPROVED01/03/2013 
• SWAP DEALER PROVISIONALLY REGISTERED12/31/2012 
• SWAP DEALER PENDING12/14/2012 
• SWAP FIRM PENDING11/21/2012 
• COMMODITY POOL OPERATOR REGISTERED02/02/1990 
• COMMODITY TRADING ADVISOR REGISTERED02/02/1990 
• COMMODITY POOL OPERATOR PENDING01/26/1990 
• COMMODITY TRADING ADVISOR PENDING01/26/1990 
• EXEMPT FOREIGN FIRM AGENT APPROVED07/26/1989 
• NFA MEMBER APPROVED07/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED01/08/1979 
CANTAB CAPITAL PARTNERS LLP 
• PRINCIPAL WITHDRAWN 04/21/2011 
• PRINCIPAL APPROVED 04/01/2008 
GOLDMAN SACHS PARIS INC ET CIE 
• PRINCIPAL APPROVED 04/01/2015 
• PRINCIPAL PENDING 10/08/2013 
UNX LLC 
• PRINCIPAL WITHDRAWN 03/11/2012 
• PRINCIPAL APPROVED 02/08/2010