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Charles Spencer Gould

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

Los Angeles, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-03-06
  • CA RA
    APPROVED
    Since 2020-03-06

Branch Locations

2815 Townsgate Rd, Westlake Village, CA 91361 • United States

2049 Century Park E, Los Angeles, CA 90067 • 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
Bancwest Investment Services Los Angeles CA 03/2015 02/2020
Bank Of The West Los Angeles CA 03/2015 02/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Westlake Village CA 02/2020 Present
Previous Registrations
  • 2015-03-24 → 2020-02-13
    Bancwest Investment Services, Inc.
    Los Angeles, CA
    Santa Barbara, CA
    Santa Barbara, CA
    Los Angeles, CA
    Beverly Hills, CA
    Thousand Oaks, CA
    Culver City, CA
  • 2014-03-12 → 2015-03-31
    First Foundation Advisors
    Los Angeles, CA
  • 2013-05-02 → 2014-02-12
    U.S. Bancorp Advisors, Llc
    Woodland Hills, CA
  • 2004-01-29 → 2005-10-03
    Wells Fargo Investments, Llc
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-03
S63 Uniform Securities Agent State Law Examination 1996-04-18
  • S65 Uniform Investment Adviser Law Examination
    1996-12-03
  • S63 Uniform Securities Agent State Law Examination
    1996-04-18
Other Names
  • Spencer Gould
  • C. Spencer Gould

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA
CARMANDALIAN FINANCIAL GROUP, LLC · WESTLAKE VILLAGE, CA

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