Devon W Goodwin
Professional Summary
Devon W Goodwin, who also goes by Devon Whitney Goodwin, is a registered financial advisor currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island. Devon is registered as a RR (Registered Representative) and started their career in finance in 2001. Devon has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Devon Whitney Goodwin
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC
Contact Information
Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262Phone Number
(617) 563-7000Established
Delaware since 06/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,100FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | — |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| MCGRAW, GERARD JOHN | DIRECTOR | 4713963 |
| PAGLIOCCO, JAMES (NMN) | DIRECTOR | 2141541 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
Disclosures
Regulatory Event
47Civil Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2004About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Devon W Goodwin's CRS (Customer Relationship Summary).
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