Thomas K. Carr

GOULD ASSET MANAGEMENT LLC

CLAREMONT, CA 91711

Some features on this profile are disabled

CRD#: 2379137

Professional summary

Thomas Keylon Carr JR, CFP® is a registered financial advisor currently at GOULD ASSET MANAGEMENT LLC located in Claremont, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Thomas has worked at 4 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Keylon Carr JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

August 20, 2002 - Present

GOULD ASSET MANAGEMENT LLC

Office #1: 341 W. First St. Suite 200, Claremont, CA 91711

RIA

CRD#: 113098

CLAREMONT, CA

Past

December 17, 2003 - December 31, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

July 8, 1997 - June 28, 2002

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

UPLAND, CA

Past

November 8, 1993 - June 28, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 18, 1993 - October 6, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GOULD ASSET MANAGEMENT LLC

CRD#: 113098 / SEC#: 801-63162

RIA

Registered Investment Advisory firm - (5/27/2004 Approved)

California

Registered Investment Advisory firm - (6/3/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/20/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/30/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/30/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

GOULD ASSET MANAGEMENT LLC

CRD#: 113098 / SEC#: 801-63162

RIA

Registered Investment Advisory firm - (5/27/2004 Approved)

California

Registered Investment Advisory firm - (6/3/2004 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

341 West First Street Suite 200, Claremont, CA 91711-4749

Mailing Address

Phone number

(909) 445-1291

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOULD ASSET MANAGEMENT LLC BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	640
AUM (Assets Under Management)	$ 901,267,904

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Raymond Prospero

MARINER INDEPENDENT

IAR

Riverside, CA

Gabriel Shahin

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Christopher Carreon

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas K. Carr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Keylon Carr JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

GOULD ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/1993

Series 7

Date: 8/17/1993

Series 10

Date: 9/30/1999

Series 9

Date: 9/30/1999

Current Firm

GOULD ASSET MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOULD ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

Similar Advisors