Richard G. Gould
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Gerardus Gould III, who also goes by III Richard Gerardus Gould, Richard Geradus Gould, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2014 - August 11, 2020
CLSA AMERICAS, LLC
September 21, 2010 - April 7, 2014
BLOOMBERG TRADEBOOK LLC
April 3, 1988 - November 3, 1995
MORGAN STANLEY & CO. LLC
December 19, 1986 - September 26, 2006
MORGAN STANLEY & CO. LLC
July 25, 1983 - January 23, 1987
LEHMAN BROTHERS INC.
July 20, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 4, 1982 - April 29, 1983
WALSH, GREENWOOD & CO.
September 25, 1981 - June 9, 1982
OTC NET INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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