Ralph A. Goodwin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ralph Augustus Goodwin, who also goes by Buddy Goodwin III, III Ralph Augustus Goodwin, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 2001. Ralph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2011 - March 13, 2019
VIRTUS INVESTMENT ADVISERS, LLC
November 18, 2010 - March 13, 2019
VP DISTRIBUTORS LLC
March 17, 2010 - October 28, 2010
VOYA FINANCIAL PARTNERS, LLC
February 4, 2009 - December 14, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
October 31, 2006 - February 4, 2009
VP DISTRIBUTORS LLC
September 28, 2005 - October 17, 2006
MML DISTRIBUTORS, LLC
April 11, 2001 - September 12, 2005
FORESIDE FUNDS DISTRIBUTORS LLC
Primary Firm SEC Registration
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 105 |
| AUM (Assets Under Management) | $ 53,982,609,839 |
Red Flags
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