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Carol Jeanne Gosho

Gosho Financial Group

San Mateo, CA

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Current Employers
Gosho Financial Group

1900 S Norfolk Street Suite 350, San Mateo, CA 94403 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-07
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-07

Branch Locations

1900 S Norfolk Street Suite 350, San Mateo, CA 94403 • 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
Gosho Financial Group San Mateo CA 08/2011 Present
Previous Registrations
  • 2016-02-04 → 2025-12-31
    Gosho Financial Group
    San Mateo, CA
  • 2010-02-09 → 2015-12-31
    Gosho Financial Group
    San Mateo, CA
  • 2009-09-08 → 2011-08-16
    Lpl Financial Llc
    San Francisco, CA
  • 2001-02-27 → 2009-12-23
    Associated Planners Investment Advisory Inc
    San Francisco, CA
  • 2003-04-29 → 2009-09-08
    Associated Securities Corp.
    Boston, MA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-22
S63 Uniform Securities Agent State Law Examination 1982-11-24
  • S65 Uniform Investment Adviser Law Examination
    1994-07-22
  • S63 Uniform Securities Agent State Law Examination
    1982-11-24
Designations
Other Names
  • Carol Jeanne Michels
  • Carol Jeanne Dornan
  • Carol J Gosho
  • Carol Jeanne Gosho

View on SEC IAPD

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TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

MARCOS D PASTRANA
DEAN ALAN BECKER
SCOTT BARTLETT MCCLOSKEY
ABIY FISSEHA
CHRISTIAN MICHAEL BRETZ
CHRISTOPHER JAMES CALL
CLAY DEAN WILLIAM STAFFORD
Jacob Daly

Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA

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