Richard Goodwin

REALTA INVESTMENT ADVISORS,

RICHARDSON, TX 75080

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CRD#: 2332035

Professional summary

Richard Goodwin, ChFC®, who also goes by Rick Goodwin, is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in Richardson, Texas and REALTA EQUITIES, INC. located in Richardson, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 12 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick 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.

(1) FISH CITY GRILL, LCC; RESTAURANT; 2% OWNER; PASSIVE INVESTOR AS OF 1/1/2010; SAN ANTONIO & GEORGETOWN TX. (2) INCOME AND WEALTH STRATEGIES dba; PLANO, TX; SOLE OWNER; S CORP CREATED FOR TAX PURPOSES; HTTPS://BETTER-ALTERNATIVE.COM; COMPENSATION FROM ADVISOR SERVICES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. (3) LIFE & FIXED INSURANCE PRODUCTS; PLANO, TX; PROVIDE LIFE INSURANCE TO CLIENTS; % OF SALES; 5-10 HOURS PER MONTH DURING NORMAL TRADING HOURS. (4) REALTA INVESTMENT ADVISORS, INC.; 1201 N ORANGE ST STE 720 WILMINGTON, DE 19801; INVESTMENT ADVISORY SERVICES, INVESTMENT ADVISOR REPRESENTATIVE; WWW.REALTAWEALTH.COM; COMPENSATION IN THE FOR OF FEES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. (5) EVOLUTION GENERAL PARTNER MEMBER; PLANO, TX; RAISE CAPITAL TO INVESTMENT IN COMMERCIAL REAL ESTATE; 25% OF NET PROFIT ONCE ALL INVESTORS ARE PAID BACK PRINCIPAL; O HOURS PER WEEK DURING NON-TRADING HOURS. (6) WEALTH STRATEGIES ADVISORY GROUP (WSAG); DBA; 17207 N PERIMETER DRIVE #120 SCOTTSDALE, AZ 85255 ; START: 3/2025; INVESTMENT RELATED; HTTPS://WWW.WSAGAZ.COM; REGISTERED REPRESENTATIVE; COMMISSIONS; 20-40 HOURS PER WEEK DURING NORMAL TRADING HOURS. (7) GOTTEL GOODWIN WEALTH STRATEGIES; DBA FOR FINANCIAL BUSINESS; START: 6/2025; 1100 W CAMPBELL RD STE 203 RICHARDSON, TX 75080; FULL FINANCIAL SERVICES, WEALTH AND TAX PLANNING TO EXISITING CLIENTS FROM A DIFFERENT OFFICE; COMMISSIONS; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Goodwin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

Experience

Current

June 28, 2023 - Present

REALTA INVESTMENT ADVISORS, INC

Office #1: 1100 W Campbell Road #203, Richardson, TX 75080

RIA

CRD#: 134952

RICHARDSON, TX

Current

June 28, 2023 - Present

REALTA EQUITIES, INC.

Office #1: 1100 W Campbell Road #203, Richardson, TX 75080

CRD#: 23769

RICHARDSON, TX

Past

September 21, 2009 - June 30, 2023

TITAN SECURITIES

RIA

CRD#: 131392

ARGYLE, TX

Past

September 21, 2009 - June 30, 2023

TITAN SECURITIES

CRD#: 131392

Addison, TX

Past

May 28, 2002 - September 21, 2009

SPC

RIA

CRD#: 110692

FRISCO, TX

Past

March 25, 2002 - September 21, 2009

PARKLAND SECURITIES, LLC

CRD#: 115368

MCKINNEY, TX

Past

July 18, 2001 - May 22, 2002

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

FRISCO, TX

Past

July 23, 1998 - March 22, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

November 6, 1997 - July 28, 1998

OMEGA SECURITIES, INC.

CRD#: 7164

FORT WORTH, TX

Past

January 6, 1997 - October 28, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 2, 1993 - January 22, 1997

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

May 27, 1993 - July 19, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 27, 1993 - July 19, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/28/2023)

Colorado
(12/16/2024)

Connecticut
(11/14/2025)

Florida
(6/28/2023)

Georgia
(6/28/2023)

Kansas
(6/28/2023)

Louisiana
(6/28/2023)

Massachusetts
(12/6/2024)

Michigan
(6/28/2023)

Minnesota
(6/28/2023)

Mississippi
(6/28/2023)

Missouri
(6/28/2023)

Nevada
(2/2/2024)

New York
(11/11/2025)

North Carolina
(6/28/2023)

Oklahoma
(6/28/2023)

South Carolina
(12/11/2024)

Tennessee
(11/2/2023)

Texas
(6/28/2023)

IAR

Texas
(6/28/2023)

Virginia
(10/29/2024)

Washington
(2/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/28/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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.

Contact information

xxxxx@xxxx.xxx

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Richard Goodwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Goodwin's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTA EQUITIES, INC.

TITAN SECURITIES

TITAN SECURITIES

SPC

PARKLAND SECURITIES, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

OMEGA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

VERAVEST INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1999

Series 63

Date: 8/24/1993

Series 6TO

Date: 6/28/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/26/1993

FINRA

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

TRUST BUT VERIFY

Contact information

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