Stuart E. Gould
Professional summary
Stuart Ellis Gould, who also goes by Stuart Gould, is a registered financial professional currently at MAXIM GROUP LLC located in Red Bank, New Jersey.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1992. Stuart has worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stuart Ellis Gould's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2026 - Present
MAXIM GROUP LLC
Office #1: 68 White Street 2nd Floor, Red Bank, NJ 07701July 19, 2022 - July 20, 2026
MIRAE ASSET SECURITIES (USA) INC.
July 27, 2017 - August 17, 2022
MAXIM GROUP LLC
March 23, 2012 - June 1, 2017
TD ARRANGED SERVICES LLC
December 19, 2008 - May 31, 2017
COWEN AND COMPANY
April 9, 2007 - January 6, 2009
MORGAN STANLEY & CO. LLC
June 4, 2002 - March 20, 2007
CANTOR FITZGERALD & CO.
October 10, 2000 - May 10, 2002
CREDIT SUISSE SECURITIES (USA) LLC
March 11, 1996 - October 10, 2000
PERSHING LLC
December 1, 1992 - March 25, 1996
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/15/1999
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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