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Thomas Matthias

Chief Compliance Officer at Goldman Sachs & Co.

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
8
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Thomas Matthias is Chief Compliance Officer of Goldman Sachs & Co. LLC, a New York investment adviser managing $134B. Thomas Matthias has a current broker registration and no current investment-adviser registration and has passed 8 licensing exams.

Role at Goldman Sachs & Co.

Title on Schedule A
Chief Compliance Officer
Control
Thomas Matthias is not a control person of Goldman Sachs & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Thomas Matthias has held the filed role since September 2017.

The firm

Goldman Sachs & Co. LLC
New York, NY

Form ADV filed 27 July 2026

$134B AUM46,268 clients1,765 advisers19 offices

Career on record

Firms and exams, newest first
  1. Passed Series 10, Series 9 and Series 57TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 14 · 2006
  4. Passed Series 7, Series 8 and Series 3 · 1997

Registrations and exams

Broker registration; no current adviser registration. Thomas Matthias has passed 8 qualifying exams.

Examinations

Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 1423 June 2006
Name
Compliance Officer Examination
Series 822 August 1997
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 35 September 1997
Name
National Commodity Futures Examination
Series 718 April 1997
Name
General Securities Representative Examination

Individual record

Full name
Thomas Fairbanks Matthias
CRD
2872690
Firm
Goldman Sachs & Co. LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Thomas Matthias work?

Thomas Matthias has been Chief Compliance Officer of Goldman Sachs & Co. LLC since September 2017.

Source: Form ADV, Schedule A, filed 27 July 2026

Does Thomas Matthias have a current investment-adviser registration?

Thomas Matthias has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Thomas Matthias passed?

Thomas Matthias has passed 8 licensing exams: the Series 7, Series 8, Series 3, Series 14, SIE, Series 10, Series 9 and Series 57TO. The earliest, the Series 7, was passed in April 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Goldman Sachs & Co.

  • Carmine Anthony Venezia
    Chief Compliance Officer
  • Michael Scott Bosworth
    Managing Director, General Counsel, Manager
  • Denis Patrick III Coleman
    Managing Director, Manager
  • Brian Richard Doyle
    Managing Director, CFO
  • Brian Michael Greeff
    Co-Principal Operations Officer
  • Mark McCaskill
    Managing Director, Principal Operations Officer
  • David Michael Solomon
    Managing Director, Manager
  • John Edward Waldron
    Managing Director, CEO,

Sources

  1. IAPD individual record, CRD 2872690. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Goldman Sachs & Co. LLC, filed 27 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Thomas Matthias or Goldman Sachs & Co. LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.