Bradley J. Goodwin

SAN LUIS WEALTH ADVISORS

San Luis Obispo, CA 93401

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CRD#: 2543519

Professional summary

Bradley Judson Goodwin, who also goes by Brad Goodwin, is a registered financial advisor currently at SAN LUIS WEALTH ADVISORS located in San Luis Obispo, California.

Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Bradley has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brad 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.

AVILA VILLA VENTURES LLC, NOT INV RELATED, AVILA BEACH, CA, 100% OWNER WITH SPOUSE, START: 1/2013, 0 HOURS, NO DUTIES.- TRUSTEE FOR AUNT, INV RELATED, SAN LUIS OBISPO, CA, START: 1/2008, 1 HOUR PER MONTH/0 DURING TRADING. LEFT LANE SPORTS; NOT INVESTMENT RELATED; SAN LUIS OBISPO, CA; ONLINE RETAILER OF ACTIVEWEAR AND GOODS; 4% OWNERSHIP; START DATE = 10/15/2011; ONE HOUR DEVOTED PER MONTOH OUTSIDE OF TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Judson 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®

None

Experience

Current

July 16, 2020 - Present

SAN LUIS WEALTH ADVISORS

Office #1: 735 Tank Farm Road Suite 264, San Luis Obispo, CA 93401

RIA

CRD#: 309506

San Luis Obispo, CA

Past

March 23, 2009 - July 24, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN LUIS OBISPO, CA

Past

March 23, 2009 - July 24, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN LUIS OBISPO, CA

Past

December 13, 2002 - April 15, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN LUIS OBISPO, CA

Past

December 13, 2002 - April 15, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN LUIS OBISPO, CA

Past

November 29, 1999 - December 16, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN LUIS OBISPO, CA

Past

October 19, 1999 - December 16, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 2, 1996 - June 28, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

November 8, 1994 - July 10, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

SAN LUIS WEALTH ADVISORS

SAN LUIS WEALTH ADVISORS | SLWA, LLC

CRD#: 309506 / SEC#: 801-119019

RIA

Registered Investment Advisory firm - (7/13/2020 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(7/16/2020)

IAR

Texas
(5/10/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/29/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/7/1994

General Securities Representative Examination

Current Firm

SAN LUIS WEALTH ADVISORS

SAN LUIS WEALTH ADVISORS | SLWA, LLC

CRD#: 309506 / SEC#: 801-119019

RIA

Registered Investment Advisory firm - (7/13/2020 Approved)

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Contact information

Main Address

735 Tank Farm Road Suite 264, San Luis Obispo, CA 93401

Mailing Address

Phone number

(805) 810-0002

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,364
AUM (Assets Under Management)	$ 705,518,005

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.

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Advisor Monitoring

Firm Stability Insights

Bradley J. Goodwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SAN LUIS WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1994

Series 63

Date: 11/25/1994

SIE

Date: 10/1/2018

Series 31

Date: 9/29/2003

Series 7

Date: 11/7/1994

Current Firm

SAN LUIS WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAN LUIS WEALTH ADVISORS

TRUST BUT VERIFY

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