# EDGAR Filing Document

**Accession Number:** 0000734700
**File Stem:** 0000734700-23-000002
**Filing Date:** 2023-2
**Character Count:** 21402
**Document Hash:** bc7ddfada650829fd988541c2fef9a32
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000734700-23-000002.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0000734700-23-000002

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230315

**EFFECTIVENESS DATE**: 20230309

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GOLDMAN SACHS & CO. LLC /TA
- **CENTRAL INDEX KEY:** 0000734700
- **IRS NUMBER:** 135108880

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01100
- **FILM NUMBER:** 23733874

**BUSINESS ADDRESS:**
- **STREET 1:** 71 S WACKER DRIVE STE 1200
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60606
- **BUSINESS PHONE:** 3126554400

**MAIL ADDRESS:**
- **STREET 1:** 71 S WACKER DRIVE STE 1200
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60606

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GOLDMAN SACHS & CO /TA
- **DATE OF NAME CHANGE:** 19831201

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** GOLDMAN SACHS & CO. LLC /TA

**FINS Number:** 900050

**Address of principal office where transfer agent activities are performed:** 71 S Wacker Drive, Suite 1200, Chicago, IL, 60606

**Is mailing address different from principal office address?:** No

**Telephone Number:** 312-655-4400

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** Yes

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name                   | Relationship Start Date   | Title or Status                 | Ownership Code   | Control Person   |
|:---|:---|:---|:---|:---|
| David Michael Solomon         | 04/15/2017                | Managing Director, Manager      | NA               | Yes              |
| John Edward Waldron           | 12/15/2018                | Managing Director, CEO, Manager | NA               | Yes              |
| Denis Patrick Coleman III     | 01/15/2022                | Managing Director, Manager      | NA               | Yes              |
| Ericka T Horan                | 02/15/2022                | Managing Director, Manager      | NA               | Yes              |
| The Goldman Sachs Group, Inc. | 04/15/2017                | Class A Member                  | E                | Yes              |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Convicted/plead guilty to any other felony?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Enjoined in connection with any investment-related activity?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Found to have violated any investment-related statute or regulation?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Made a false statement or omission in a filing with the SEC?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Federal/State agency found a false statement or omission?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Federal/State agency found a violation of investment-related regulations?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Federal/State agency denied, suspended, or revoked registration?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** Yes

  - **Details #1:**

    - **Entity Name:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Title:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Date:** 02/27/2023

    - **Court/Body Name and Location:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Action Description:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

    - **Disposition:** Please see historical filings made on applicant's Form BD (FINRA CRD #361 and SEC Filing Nos. 801-1604 and 8-129). Applicant's disciplinary history may be also found at https://brokercheck.finra.org

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Ken Cawley

**Title:** Ken Cawley

**Date:** 02/27/2023

**Phone Number:** 312-655-5995