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Michael Jay Gould

Commonwealth Financial Network

Berlin, CT

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-26
CT RA APPROVED 2006-04-28
  • TX RA
    APPROVED_RES
    Since 2026-03-26
  • CT RA
    APPROVED
    Since 2006-04-28

Branch Locations

279 New Britain Road Suite #4, Berlin, CT 06037 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Commonwealth Financial Network Waltham CT 04/2006 Present
Capital Concepts, Llc Berlin CT 04/2006 Present
Previous Registrations
  • 2003-03-04 → 2006-05-05
    Cetera Investment Services Llc
    Berlin, CT
  • 2000-09-15 → 2003-03-06
    National Planning Corporation
    Berlin, CT
Other Businesses

FIXED ANNUITY SALES THROUGH BANCNORTH INVESTMENT GROUP INSURANCE AGENCY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-05
S63 Uniform Securities Agent State Law Examination 1997-05-14
  • S65 Uniform Investment Adviser Law Examination
    1998-11-05
  • S63 Uniform Securities Agent State Law Examination
    1997-05-14
Other Names
  • Michael J Gould

View on SEC IAPD

Other Firms

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
LPL FINANCIAL LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
SANTANDER SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
J. W. COLE ADVISORS, INC.

Other Investors

Joseph Anthony Manzi
PAMELA LYNN MISCIA
ROBERT FRANCIS MCKINNON
JOSEPH CHRISTOPHER GLOWKA
JOHN TONY GLOWKA
Leonard F Lye
BRIAN CRAIG ELLIOTT
MIA ELYSE WALLACK

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BERLIN, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Berlin, CT
LPL FINANCIAL LLC · KENSINGTON, CT
LPL FINANCIAL LLC · BERLIN, CT
PFS INVESTMENTS INC. · NEWINGTON, CT
J.P. MORGAN SECURITIES LLC · New Britain, CT
COMMONWEALTH FINANCIAL NETWORK · NEW BRITAIN, CT
SANTANDER SECURITIES LLC · Newington, CT

More in Berlin, CT

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