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FinancialADVSR

Est. 2026The front page of wealth managementNew York

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Registered advisors

Every investment adviser representative in the SEC’s records, each with a profile: firms, branch, career, exams, designations and disclosures.

  1. 398,323Registered advisersEvery investment adviser representative
  2. 304,914Dually registered77% are also broker reps
  3. 93,409Adviser onlyNot registered with a broker-dealer
  4. 25,637FirmsWhere they're registered
  5. 56,898CFPs11,004 CFAs, 12,692 ChFCs

From the SEC’s compilation report of October 25, 2026, refreshed every morning. +22 since the file before. 1 firm join and 27 departures in the latest file. 8 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

8 advisors

Unlock all 8
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Derek M. BaldwinClaremont, CAGould Asset Management LLCAdviser onlyCFAAtlas2014
2Thomas K. Carr Jr.Claremont, CAGould Asset Management LLCAdviser onlyCFPAtlas1997
3Jezmier CornejoClaremont, CAGould Asset Management LLCAdviser only–Atlas2024
4John J. Debiase IIIClaremont, CAGould Asset Management LLCAdviser onlyCFAAtlas2012
5Donald P. GouldClaremont, CAGould Asset Management LLCAdviser only–Atlas2002
6John M. HeitkemperClaremont, CAGould Asset Management LLCAdviser onlyCFAAtlas2015
7Serena C. LamClaremont, CAGould Asset Management LLCAdviser onlyCFPAtlas2019
8Scott B. SmithClaremont, CAGould Asset Management LLCAdviser onlyCFAAtlas2004

From the SEC’s Investment Adviser Public Disclosure compilation report: investment adviser representatives, including those also registered as broker representatives. Personal contact details aren’t included.