John R. 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.
John Robert Gould was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2013 - August 28, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 10, 2013 - August 28, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 11, 2012 - July 8, 2013
ALLSTATE FINANCIAL SERVICES, LLC
May 26, 2010 - February 29, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 24, 2010 - February 29, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 29, 2009 - May 14, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
July 29, 2009 - May 14, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 5, 2007 - August 4, 2009
LPL FINANCIAL LLC
January 5, 2007 - August 4, 2009
LPL FINANCIAL LLC
January 11, 2006 - January 3, 2007
KEY INVESTMENT SERVICES LLC
January 3, 2006 - January 3, 2007
KEY INVESTMENT SERVICES LLC
June 1, 2004 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
May 26, 2004 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
September 10, 2003 - May 17, 2004
LASALLE FINANCIAL SERVICES, INC.
September 2, 2003 - May 17, 2004
LASALLE FINANCIAL SERVICES, INC.
December 21, 2001 - August 20, 2003
EDWARD JONES
March 16, 2000 - December 21, 2001
METROPOLITAN LIFE INSURANCE COMPANY
March 16, 2000 - December 21, 2001
MSI FINANCIAL SERVICES, 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
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
