James Nelson Gould
Professional Summary
James Nelson Gould was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1979 - 2003. James had worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 24, Series 12 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
CFS BROKERAGE CORP. | TRUSTED SECURITIES ADVISORS CORP. | TRUSTED ADVISORS | COLLATERAL FINANCIAL BROKERAGE, INC.
Contact Information
Established
Minnesota since 01/29/1989Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONY SECURITIES CORPORATION | 100% OWNER | 4386 |
| DAMBRISI, PHILIP PAUL | PRESIDENT | 1429134 |
| ENGEBRETSON, RICHARD LYNN | CHAIRMAN AND DIRECTOR | 1933047 |
| LOONEY, TIMOTHY ANDREW | FINOP/FINANCIAL OFFICER | 2727098 |
| LYLE, TIMOTHY JAMES | VP AND CHIEF COMPLIANCE OFFICER | 1111138 |
| MCCLELLAN, CATHERINE RICHARDS | SECRETARY | 1453119 |
| ORLUCK, STEVEN GEORGE | DIRECTOR | 844977 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 12 — NYSE Branch Manager Examination
Passed Jun 1979Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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