Stephen J. Goodwin

LNW

Seattle, WA 98104-1564

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CRD#: 4245182

Professional summary

Stephen John Goodwin, who also goes by S John Goodwin, S. John Goodwin, is a registered financial advisor currently at LNW located in Seattle, Washington.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephen has worked at 6 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

S John Goodwin | S. John 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen John 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

December 4, 2020 - Present

LNW

Office #1: 801 Second Avenue, Suite 1600, Seattle, WA 98104-1564

RIA

CRD#: 113400

Seattle, WA

Past

January 6, 2016 - December 14, 2020

FILAMENT, LLC

RIA

CRD#: 138419

SEATTLE, WA

Past

January 30, 2006 - December 31, 2015

FILAMENT, LLC

RIA

CRD#: 138419

SEATTLE, WA

Past

June 18, 2004 - October 4, 2005

CORNERSTONE ADVISORS INC

RIA

CRD#: 110908

BELLEVUE, WA

Past

February 23, 2001 - July 7, 2003

QUELLOS FIXED INCOME ADVISORS LLC

RIA

CRD#: 108912

SEATTLE, WA

Past

February 23, 2001 - July 7, 2003

QUELLOS CAPITAL MANAGEMENT LP

RIA

CRD#: 106683

SEATTLE, WA

Past

September 19, 2000 - July 7, 2003

CFT SECURITIES, LLC

CRD#: 46226

PRINCETON, NJ

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".

LNW

CRD#: 113400 / SEC#: 801-60345

RIA

Registered Investment Advisory firm - (6/8/2001 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

Washington
(12/4/2020)

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 66

Date: 2/13/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 6/18/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/18/2000

General Securities Representative Examination

Current Firm

LNW

CRD#: 113400 / SEC#: 801-60345

RIA

Registered Investment Advisory firm - (6/8/2001 Approved)

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Contact information

Main Address

801 Second Avenue, Suite 1600, Seattle, WA 98104-1564

Mailing Address

Phone number

(206) 464-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LNW WEALTH MANAGMENT LLC - PART 2A ANNUAL UPDATE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,463
AUM (Assets Under Management)	$ 4,526,284,775

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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Firm Stability Insights

Stephen J. Goodwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FILAMENT, LLC

FILAMENT, LLC

CORNERSTONE ADVISORS INC

QUELLOS FIXED INCOME ADVISORS LLC

QUELLOS CAPITAL MANAGEMENT LP

CFT SECURITIES, LLC

Primary Firm SEC Registration

LNW

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2001

Series 31

Date: 6/18/2001

Series 7

Date: 9/18/2000

Current Firm

LNW

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LNW

TRUST BUT VERIFY

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