James N. 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 Nelson Gould was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2002 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
September 21, 1998 - March 15, 1999
TRUSTED SECURITIES ADVISORS CORP.
December 19, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
December 19, 1989 - June 11, 2004
MONY SECURITIES CORPORATION
June 25, 1986 - November 1, 1989
SECURITIES SETTLEMENT CORPORATION
October 10, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 10, 1979 - May 16, 1986
UBS 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
Series 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 12
Date: 6/18/1979
NYSE Branch Manager ExaminationCurrent Firm
TRUSTED SECURITIES ADVISORS CORP.
CRD#: 24049 / SEC#: , 8-40877
Contact information
Documents
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 | 5 |
Red Flags
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