SEC Info - Goldman Sachs & Co. LLC, et al.

EDGAR Submission

Header Data:

Submission Type: MA-I/A

Filer Info:

Filer:

Filer ID: 769993

Filer CCC: XXXXXXXX

Contact:

Name: CHAD CHRISTENSEN

Phone Number: 801-741-5676

Contact Email: CHAD.CHRISTENSEN@GS.COM

Notifications:

Internet Notification Address: WILLIAM.JENSEN@GS.COM

Internet Notification Address: ALLISON.NUTTALL@GS.COM

Form Data:

Is Amendment? No

Previous Accession Number: 769993-22-370

Is Individual? Yes

Applicant Name:

First Name: MICHAEL

Middle Name: ANDREW

Last Name: MULLINS

Applicant CRD Num.: 6389697

Has More Than One Advisory Firms? No

No of Advisory Firms: 1

Municipal Advisor Offices:

Municipal Advisor Office:

Municipal Firm:

Municipal Filer:

Filer ID: 769993

Municipal Firm Name: GOLDMAN SACHS & CO. LLC

Recent Employment Commenced Date: 10/5/20

Is Independent Relatioship? No

MA Registration:

SEC Registration:

File Number: 867-01181

Advisor Offices:

Advisor Office:

Location Info: LOCATED

Start Date: 10/5/20

Address Info:

Address:

Street 1: 200 WEST STREET

City: NEW YORK

State or Country: NY

ZIP Code: 10282

Residential History:

Employment History:

Current Employer:

Start Date: 10-2020

Name: GOLDMAN SACHS

Address Info:

City: ATLANTA

State or Country:

State or Country: GA

ZIP Code: 30326

Is Related to Municipal Advisor? Yes

Is Related to Investment? Yes

Position Description: VICE PRESIDENT

Prior Employers:

Prior Employer:

Start Date: 08-2020

End Date: 09-2020

Name: UNEMPLOYED

Address Info:

City: ATLANTA

State or Country:

State or Country: GA

ZIP Code: 30331

Is Related to Municipal Advisor? No

Is Related to Investment? No

Position Description: UNEMPLOYED

Prior Employer:

Start Date: 06-2019

End Date: 07-2020

Name: ECG MANAGEMENT CONSULTING

Address Info:

City: ATLANTA

State or Country:

State or Country: GA

ZIP Code: 30305

Is Related to Municipal Advisor? No

Is Related to Investment? Yes

Position Description: PRINCIPAL

Prior Employer:

Start Date: 05-2018

End Date: 05-2019

Name: MICHAEL MULLINS

Address Info:

City: ATLANTA

State or Country:

State or Country: GA

ZIP Code: 30331

Is Related to Municipal Advisor? No

Is Related to Investment? No

Position Description: SELF-EMPLOYED CONSULTANT

Prior Employer:

Start Date: 08-2014

End Date: 04-2018

Name: HOULIHAN LOKEY CAPITAL, INC.

Address Info:

City: ATLANTA

State or Country:

State or Country: GA

ZIP Code: 30305

Is Related to Municipal Advisor? Yes

Is Related to Investment? Yes

Position Description: SENIOR VICE PRESIDENT

Prior Employer:

Start Date: 01-2011

End Date: 07-2014

Name: NAVIGANT CONSULTING

Address Info:

City: ATLANTA

State or Country:

State or Country: GA

ZIP Code: 30309

Is Related to Municipal Advisor? Yes

Is Related to Investment? No

Position Description: ASSOCIATE DIRECTOR

Is Engaged in Other Business? No

Disclosure Questions:

Criminal Disclosure:

Criminal Disclosure Common Question:

Is Convicted of Felony? No

Is Charged With Felony? No

Is Org. Convicted of Felony? No

Is Org. Charged With Felony? No

Is Convicted of Misdemeanor? No

Is Charged With Misdemeanor? No

Is Org. Convicted of Misdemeanor? No

Is Org. Charged With Misdemeanor? No

Regulatory Disclosure:

Regulatory Disclosure Common Question:

Is Made False Statement? No

Is Violated Regulation? No

Is Cause of Denial? No

Is Order Against? No

Is Imposed Penalty? No

Is Unethical? No

Is Found in Violation of Regulation? No

Is Found in Cause of Denial? No

Is Order Against Activity? No

Is Denied License? No

Is Found Made False Statement? No

Is Found in Violation of Rules? No

Is Found in Cause of Suspension? No

Is Discipliend? No

Is Authorized to Act Attorney? No

Is Regulatory Complaint? No

Is Violated Security Act? No

Is Willfully Aided? No

Is Failed to Supervise? No

Is Found Willfully Aided? No

Is Association Bared? No

Is Final Order? No

Is Willfully Violated Security Act? No

Is Failed Resonably? No

Investigation Disclosure:

Is Investigated? No

Civil Disclosure:

Is Enjoined? No

Is Found in Violation of Regulation? No

Is Dismissed? No

Is Named in Civil Proceeding? No

Complaint Disclosure:

Is Complaint Pending? No

Is Complaint Settled? No

Is Fraud Case Pending? No

Is Fraud Case Resulted Award? No

Is Fraud Case Settled? No

Termination Disclosure:

Is Viloated Industry Standard? No

Is Involved in Fraud? No

Is Failed to Supervise? No

Financial Disclosure:

Is Compromised? No

Is Bankruptcy Petition? No

Is Trustee Apointed? No

Is Bond Revoked? No

Judgment Lien Disclosure:

Is Lien Against? No

Signature Info:

Signature:

Date Signed: 3/28/24

Signature: DARIAN FUTRELL

Title: CHIEF COMPLIANCE OFFICER

Goldman Sachs & Co. LLC, et al. – ‘MA-I/A’ on 3/29/24

On: Friday, 3/29/24, at 7:17am ET · As of: 3/28/24 · Accession #: 769993-24-219 · File #: 868-04222

Previous ‘MA-I’: ‘MA-I’ on 3/21/24 · Next: ‘MA-I’ on 4/8/24 · Latest: ‘MA-I’ on 4/11/24

Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I

Filing Table of Contents

This ‘MA-I/A’ Document is an XML Data File that may be rendered in various formats:

Goldman Sachs & Co. LLC, et al. – ‘MA-I/A’ on 3/29/24

On: Friday, 3/29/24, at 7:17am ET · As of: 3/28/24 · Accession #: 769993-24-219 · File #: 868-04222

Previous ‘MA-I’: ‘MA-I’ on 3/21/24 · Next: ‘MA-I’ on 4/8/24 · Latest: ‘MA-I’ on 4/11/24

Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-IFiling Table of Contents

This ‘MA-I/A’ Document is an XML Data File that may be rendered in various formats:

Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I

Filing Table of Contents