Diane J. Goodwin

Some features on this profile are disabled

CRD#: 1769492

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.

Diane Jean Goodwin was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1988. Diane had worked at 17 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

August 8, 2001 - June 19, 2002

CAMDEN SECURITIES, INC.

CRD#: 18305

LOS ANGELES, CA

Past

December 7, 1998 - November 19, 1999

EQUITRADE SECURITIES CORPORATION

CRD#: 29558

LAKE FOREST, CA

Past

August 19, 1998 - November 19, 1998

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

December 17, 1996 - August 19, 1998

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

October 11, 1995 - December 16, 1996

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

February 3, 1995 - October 17, 1995

EQUITY PROGRAMS CORPORATION

CRD#: 6100

SAN DIEGO, CA

Past

November 18, 1994 - January 31, 1995

J. A. OVERTON & CO., INC.

CRD#: 2960

SAN DIEGO, CA

Past

October 2, 1991 - October 27, 1994

CENTEX SECURITIES, INCORPORATED

CRD#: 18493

LA JOLLA, CA

Past

August 6, 1991 - October 15, 1991

FLEMMING, ANDERSON, COHEN & LEE, INC.

CRD#: 23121

LITTLETON, CO

Past

March 12, 1991 - June 10, 1991

H.K. FREELAND & COMPANY, INC.

CRD#: 23523

Past

September 21, 1990 - February 27, 1991

SAN MARINO SECURITIES, INC.

CRD#: 18588

Past

March 21, 1990 - September 13, 1991

FIRST AMERICA EQUITIES CORP.

CRD#: 7652

Past

October 25, 1989 - January 23, 1990

ADAMS SECURITIES, INC.

CRD#: 16688

Past

September 21, 1989 - November 8, 1989

DEL MAR SECURITIES, INC.

CRD#: 14411

Past

January 4, 1989 - September 20, 1989

MARSHALL DAVIS, INC.

CRD#: 16278

Past

June 24, 1988 - January 30, 1990

TOLUCA PACIFIC SECURITIES CORP.

CRD#: 13875

Past

January 19, 1988 - June 9, 1988

HAMILTON, WILLIAMS & CO., INC.

CRD#: 17612

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

Series 63

Date: 3/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Current Firm

CAMDEN SECURITIES, INC.

CAMDEN SECURITIES, INC. | PENSION SECURITIES CORP. | PENSION INVESTORS SECURITIES CORPORATION | HAMPTON SECURITIES, INC.

CRD#: 18305 / SEC#: , 8-36436

Terminated by SEC on 11/29/2003

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 07/11/1986

Firm type

Corporation

Fiscal year end

March

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ANTHONY, PATRICK ALEXANDER	CEO AND FINANCIAL OFFICER	2080102
ARNOLD, MICHAEL JAMES	SENIOR VICE PRESIDENT	2704969
BECK, KAREN FULLER	DIRECTOR, SROP	2360589
SEELIG, WILLIAM SLOAN	PASSIVE INVESTOR	4652150

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Diane J. Goodwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITRADE SECURITIES CORPORATION

BARRON CHASE SECURITIES, INC.

PACIFIC CORTEZ SECURITIES INCORPORATED

ARGENT SECURITIES, INC.

EQUITY PROGRAMS CORPORATION

J. A. OVERTON & CO., INC.

CENTEX SECURITIES, INCORPORATED

FLEMMING, ANDERSON, COHEN & LEE, INC.

H.K. FREELAND & COMPANY, INC.

SAN MARINO SECURITIES, INC.

FIRST AMERICA EQUITIES CORP.

ADAMS SECURITIES, INC.

DEL MAR SECURITIES, INC.

MARSHALL DAVIS, INC.

TOLUCA PACIFIC SECURITIES CORP.

HAMILTON, WILLIAMS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/9/1988

Series 7

Date: 1/16/1988

Current Firm

CAMDEN SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAMDEN SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors