Gloria C Gould

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
OK	RA	APPROVED	2020-10-12

OK RA
APPROVED

Since 2020-10-12

Branch Locations

501 Nw Grand Blvd, Oklahoma City, OK 73118 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Richmond	VA	06/2006	Present
Cetera Investment Services Llc	St Cloud	MN	10/2020	Present
Cetera Investment Advisers Llc	Oklahoma City	OK	10/2020	Present
Midfirst Bank	Oklahoma City	OK	10/2020	Present

06/2006 → Present

Rbc Capital Markets, Llc

Richmond, VA
10/2020 → Present

Cetera Investment Services Llc

St Cloud, MN
10/2020 → Present

Cetera Investment Advisers Llc

Oklahoma City, OK
10/2020 → Present

Midfirst Bank

Oklahoma City, OK

Previous Registrations

2008-08-19 → 2020-10-06

Rbc Capital Markets, Llc

Richmond, VA

Other Businesses

MIDFIRST BANK, TRUE CHAMPION REFERRAL PROGRAM, INCENTIVE AMOUNTS RECEIVED FOR REFERRALS THAT RESULT IN NEW COSTOMER RELATIONSHIPS FOR MIDFIRST BANK

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-08-18

S66 Uniform Combined State Law Examination

2008-08-18

Other Names

Gloria C Carroll

View on SEC IAPD