LG
Leo B. Goodin
J. W. COLE ADVISORS
Mansfield Center, CT 06250
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CRD#: 3165302
LG
Professional summary
Leo Bartlett Goodin, who also goes by Bart Goodin, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Mansfield Center, Connecticut and J.W. COLE FINANCIAL, INC. located in Mansfield Center, Connecticut.
Leo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Leo has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bart Goodin
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) Rental Property; 46 Constitution Square, Mansfield Ctr, CT 06250; Not Investment Related; Landlord; Condo maintenance; upkeep, rent collection, bill payments; Start 6/2016; 2 hours/month, 0 during trading. (2) Insurance Agent; 6A Ledge Brook Drive, Mansfield Ctr, CT 06250; Investment Related; Owner; Insurance Sales; Quote policies, Discuss with clients, pay claims as needed; Start 10/2016; 2 hours/month, 2 hours/month during trading. (3) Taxes Plus Wealth Management Inc.; DBA; 6A Ledge Brook Drive, Mansfield Ctr, CT 06250; President; Tax preparation and Planning for individuals and small business; Start 10/2016; 160 hours/month, 125 hours/month during trading. (4) Notary Public; Not investment related; 6A Ledge Brook Drive, Mansfield Ctr, CT 06250; Owner; Notarize documents as needed but not investment related; Start 10/2016; 1 hour/month, 1 hour/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Leo Bartlett Goodin's 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®
NoneExperience
Current
February 15, 2024 - Present
J. W. COLE ADVISORS, INC.
Office #1: 6a Ledge Brook Drive, Mansfield Center, CT 06250RIA
CRD#: 112294
Mansfield Center, CT
Current
February 15, 2024 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 6a Ledge Brook Drive Mansfield Center, Mansfield Center, CT 06250BD
CRD#: 124583
Mansfield Center, CT
Past
September 26, 2012 - March 4, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Mansfield Center, CT
Past
September 26, 2012 - March 4, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Mansfield Center, CT
Past
October 21, 2008 - October 1, 2012
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
COLUMBIA, CT
Past
July 25, 2006 - October 1, 2012
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
COLUMBIA, CT
Past
March 8, 1999 - July 21, 2006
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)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.RR
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
RR
Connecticut(2/15/2024)
IAR
Connecticut(2/15/2024)
RR
Delaware(2/15/2024)
RR
Florida(2/15/2024)
RR
Maine(2/15/2024)
RR
Massachusetts(3/18/2024)
RR
Missouri(2/15/2024)
RR
Nevada(2/15/2024)
RR
New Hampshire(2/15/2024)
RR
New York(2/15/2024)
RR
North Carolina(1/2/2025)
RR
South Carolina(2/15/2024)
RR
Utah(2/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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
J. W. COLE ADVISORS, INC.
CRD#: 112294Mansfield Center, CT 06250TRUST BUT VERIFY
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