Adam J. 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.
Adam J Gould was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2005. Adam had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2021 - March 20, 2023
IRC SECURITIES LLC
November 14, 2016 - July 31, 2020
INSTINET, LLC
July 6, 2015 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
May 10, 2011 - December 18, 2014
MORGAN STANLEY & CO. LLC
October 4, 2005 - April 13, 2011
EMPIRICAL RESEARCH PARTNERS LLC
State Registrations and Notice Filings
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Exams
Current Firm
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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