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RG

Ralph A. Goodwin

Some features on this profile are disabled
CRD#: 1012616
RG

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

Are you a "fiduciary"?
No

Aliases

Buddy Goodwin Iii | Iii Ralph Augustus Goodwin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 7, 2011 - March 13, 2019

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
HARTFORD, CT
Past

November 18, 2010 - March 13, 2019

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

March 17, 2010 - October 28, 2010

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

February 4, 2009 - December 14, 2009

AXCELUS FINANCIAL DISTRIBUTION COMPANY

BD
CRD#: 38383
HARTFORD, CT
Past

October 31, 2006 - February 4, 2009

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

September 28, 2005 - October 17, 2006

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
ENFIELD, CT
Past

April 11, 2001 - September 12, 2005

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/10/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)
PREMIUM
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Contact information

Main Address
One Financial Plaza 26th Floor, Hartford, CT 06103
Mailing Address
Phone number
(800) 248-7971
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts105
AUM (Assets Under Management)$ 53,982,609,839

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

CRD#: 106982

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