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MICHAEL C. GOULD
CRD#: 4801535
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 6100 FAIRVIEW ROAD
9TH FLOOR
CHARLOTTE, NC 28211
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2004 - 2007 (2 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2004 - 2006 (1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2006 - 2007 (1 year)
License(s)

State Registrations

B
Alabama 1/5/2017

B
New Jersey 8/30/2016

B
California 1/5/2017

B
New York 12/23/2016

B
Colorado 6/27/2022

B
North Carolina 4/28/2009

B
Connecticut 1/5/2017

IA
North Carolina 4/28/2009

B
Delaware 6/27/2022

B
Ohio 1/5/2017

B
Florida 12/23/2016

B
Oklahoma 6/27/2022

B
Georgia 12/23/2016

B
Pennsylvania 12/13/2023

B
Illinois 1/6/2020

B
Rhode Island 6/27/2022

B
Indiana 1/6/2020

B
South Carolina 12/23/2016

B
Kentucky 1/5/2017

B
Tennessee 1/5/2017

B
Louisiana 7/2/2020

B
Texas 12/23/2016

B
Maryland 5/12/2020

IA
Texas 1/5/2017

B
Massachusetts 7/2/2020

B
Utah 6/13/2023

B
Michigan 7/2/2020

B
Virginia 12/23/2016

B
Missouri 9/27/2022

B
Washington 1/6/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
3016 Champaign St, Charlotte, NC 28210
Registered with this firm since 4/28/2009

IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
3016 Champaign St, Charlotte, NC 28210
Registered with this firm since 4/28/2009

Previous Registration(s)
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IA
05/25/2007 - 05/06/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHARLOTTE, NC
B
05/25/2007 - 05/06/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHARLOTTE, NC
IA
05/04/2006 - 05/11/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CHAPEL HILL, NC
B
10/04/2004 - 05/11/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CHAPEL HILL, NC
B
10/04/2004 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.