Charles Spencer Gould

CRD 2700491 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Westlake Village, CA

IA RegisteredBroker

Also appears in the source record as: Spencer Gould Mr.; C. Spencer Gould

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (1): California
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Westlake Village, CA · IA capacity

Mar 6, 2020 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Westlake Village, CA · BC capacity

start not retrieved → present
Bancwest Investment Services, Inc. (Bwis)
IA capacity

Mar 24, 2015 → Feb 13, 2020
Bancwest Investment Services, Inc.
BD capacity

Mar 23, 2015 → Feb 13, 2020
First Foundation Advisors
IA capacity

Mar 12, 2014 → Mar 31, 2015
Unionbanc Investment Services, LLC
BD capacity

May 2, 2013 → Feb 12, 2014
Unionbanc Investment Services, LLC
IA capacity

May 2, 2013 → Feb 12, 2014
Mbsc Securities Corporation
BD capacity

Feb 22, 2012 → Dec 19, 2012
Franklin Templeton Financial Services Corp.
BD capacity

Mar 26, 2007 → Mar 22, 2010
Templeton/Franklin Investment Services,inc.
BD capacity

Oct 11, 2005 → Mar 26, 2007
Wells Fargo Investments, LLC
BD capacity

Jan 29, 2004 → Oct 3, 2005
Wells Fargo Investments, LLC
IA capacity

Jan 29, 2004 → Oct 3, 2005
Mbsc, LLC
BD capacity

Jun 6, 2003 → Jan 14, 2004
Mellon Financial Markets, LLC
BD capacity

Sep 5, 2001 → Jun 6, 2003
Amsouth Investment Services, Inc.
BD capacity

Feb 8, 1996 → Nov 8, 1999

Source & corrections

Where this page comes from

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