Frederic C. 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.
Frederic Charles Goodwin IV, who also goes by F Charles Goodwin, Frederic Charles Goodwin, was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1993. Frederic had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 50, Series 7, Series 52, Series 54, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2025 - September 25, 2025
GRIFFIN FINANCIAL GROUP, LLC
July 16, 1997 - February 18, 2025
BNY MELLON CAPITAL MARKETS, LLC
May 7, 1993 - July 15, 1997
ADVEST, INC.
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
GRIFFIN FINANCIAL GROUP, LLC
CRD#: 119004 / SEC#: , 8-53711
Contact information
FINRA licenses (51 States and Territories)
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.
