James C. 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.
James Clifford Gould was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2000 - August 30, 2001
WORLD SECURITIES, INC.
June 11, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 11, 1997 - January 10, 2000
EQUITABLE ADVISORS, LLC
April 7, 1993 - December 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
January 22, 1992 - December 31, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 11, 1983 - April 16, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 11, 1983 - April 16, 1990
EQUITABLE ADVISORS, LLC
March 10, 1982 - July 7, 1983
LUTHERAN BROTHERHOOD SECURITIES CORP.
October 20, 1980 - April 20, 1982
EQUITABLE ADVISORS, LLC
December 16, 1976 - April 16, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 12/9/1976
Registered Representative ExaminationCurrent Firm
WORLD SECURITIES, INC.
CRD#: 39431 / SEC#: , 8-48703
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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