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Charles Spencer Gould
SPENCER GOULD MR., C. Spencer Gould
CRD#: 2700491
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2815 TOWNSGATE RD
WESTLAKE VILLAGE, CA 91361
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (1 year)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2015 - 2020 (4 years)2 FIRMS2020 - Present (4 years)BMBSC SECURITIES CORPORATION (CRD# 231)2012 - 2012 (<1 year)BFRANKLIN TEMPLETON FINANCIAL S... (CRD# 13594)2007 - 2010 (3 years)BTEMPLETON/FRANKLIN INVESTMENT ... (CRD# 27884)2005 - 2007 (1 year)BMBSC, LLC (CRD# 42430)2003 - 2004 (<1 year)BMELLON FINANCIAL MARKETS, LLC (CRD# 17454)2001 - 2003 (1 year)BAMSOUTH INVESTMENT SERVICES, INC. (CRD# 15692)1996 - 1999 (3 years)IAFIRST FOUNDATION ADVISORS (CRD# 106075)2014 - 2015 (1 year)
License(s)

State Registrations

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California 3/6/2020

IA
California 3/6/2020

SRO Registrations

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Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2815 TOWNSGATE RD, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 3/6/2020

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2815 TOWNSGATE RD, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 3/6/2020

Previous Registration(s)
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IA
03/24/2015 - 02/13/2020 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) LOS ANGELES, CA
B
03/23/2015 - 02/13/2020 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) LOS ANGELES, CA
IA
03/12/2014 - 03/31/2015 FIRST FOUNDATION ADVISORS (CRD#:106075) LOS ANGELES, CA
IA
05/02/2013 - 02/12/2014 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) WOODLAND HILLS, CA
B
05/02/2013 - 02/12/2014 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) WOODLAND HILLS, CA
B
02/22/2012 - 12/19/2012 MBSC SECURITIES CORPORATION (CRD#:231) LOS ANGELES, CA
B
03/26/2007 - 03/22/2010 FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. (CRD#:13594) LOS ANGELES, CA
B
10/11/2005 - 03/26/2007 TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC. (CRD#:27884) SAN MATEO, CA
IA
01/29/2004 - 10/03/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PASADENA, CA
B
01/29/2004 - 10/03/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
06/06/2003 - 01/14/2004 MBSC, LLC (CRD#:42430) NEW YORK, NY
B
09/05/2001 - 06/06/2003 MELLON FINANCIAL MARKETS, LLC (CRD#:17454) NEW YORK, NY
B
02/08/1996 - 11/08/1999 AMSOUTH INVESTMENT SERVICES, INC. (CRD#:15692) BIRMINGHAM, AL
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Broker
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Investment Adviser
Disclosures
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