Charles Gould has held the title Member at Gould Capital since January 2019, is a control person of the firm and directly owns between 10% and 25% of it.
Gould Capital, LLC is a Tacoma, WA firm with $175M under management, 156 clients and 3 advisers in one office, as of its March 2026 filing.
Charles Gould’s longest registration was 27 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (1983–2011).
- Wells Fargo Advisors Financial Network, LLC– · 8 yearsTacoma, WA · Adviser representative · Firm CRD 11025
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 27 yearsFox Island, WA · Adviser representative · Firm CRD 7691
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 12 July 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 January 1980 |
| PC | AMEX Put and Call Exam | 8 September 1977 |
| Series 7 | General Securities Representative Examination | 19 October 1974 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- AMEX Put and Call Exam
- Name
- General Securities Representative Examination
- Full name
- Charles John Gould
- CRD
- 802733
- Firm
- Gould Capital · CRD 300609
- Role
- Member
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Charles Gould work?
Charles Gould has held the title Member at Gould Capital, LLC since January 2019, and is a control person of the firm.
Does Charles Gould have a current investment-adviser registration?
Charles Gould has no current investment-adviser or broker registration.
What exams has Charles Gould passed?
Charles Gould has passed 4 licensing exams: the Series 7, PC, Series 63 and Series 65. The earliest, the Series 7, was passed in October 1974. FINRA credited Charles Gould with the SIE, which began in October 2018.
Where was Charles Gould previously registered as an investment adviser?
Charles Gould has past investment-adviser registrations through Gould Capital, LLC, April 2019 to June 2025; Wells Fargo Advisors Financial Network, LLC, April 2011 to April 2019; Merrill Lynch, Pierce, Fenner & Smith Incorporated, August 1983 to April 2011, across 3 firms.
Is Charles Gould registered with FINRA?
No. Charles Gould has no current broker registration.
How can I verify Charles Gould’s record?
Search CRD 802733 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Gould’s full registration record.
