Cosmo Gould | Chief Compliance Officer | GRP Financial CA

Cosmo Gould

Chief Compliance Officer
(415) 526-2753

Cosmo Gould has over 10 years of Financial Services experience including; Compliance, Investment Banking, Brokerage Operations, Options Trading, Retirement Plan/ERISA. Prior to joining GRP, Cosmo was Chief Compliance Officer of Financial Telesis, a Broker Dealer and RIA with roughly 500 registered representatives and roughly 90 Million in annual revenue. Cosmo was responsible for maintaining compliance with the rules and regulations of FINRA, the State, the Department of Labor, and the Securities and Exchange Commission for Financial Telesis Inc. and its employees. Before joining Financial Telesis, Cosmo was a Senior Examiner with FINRA responsible for leading routine examinations of member firms’ sales, trading, underwriting, financial, supervisory and organizational practices to determine compliance with SEC and FINRA rules and regulations. Cosmo began his career as an Investment Advisor Representative with Wells Fargo and has also worked as a Compliance Manager at Charles Schwab.


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