Geoffrey C. Goodwin
Professional summary
Geoffrey C Goodwin is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Denver, Colorado.
Geoffrey is registered as a RR (Registered Representative) and started their career in finance in 2004. Geoffrey has worked at 4 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Geoffrey C Goodwin's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2018 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1144 15th Street Suite 2800, Denver, CO 80202November 1, 2010 - August 10, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2006 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
March 15, 2004 - November 2, 2005
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/4/2018)
(12/4/2018)
(12/4/2018)
Exams
Series 52TO
Date: 1/3/2024
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC HOLDING, LLC. | PARENT | |
| BEGLEY, TERENCE PATRICK | BOARD MEMBER | 4718949 |
| BERNIER, JAMES STEVENS | CHIEF EXECUTIVE OFFICER | 2849222 |
| CESARIO, CONNIE KOZLOFF | BOARD MEMBER | 4251140 |
| DERESPIRIS, BRIAN G | PRESIDENT, COO | 5399266 |
| MCNELIS, BRIAN PATRICK | BOARD MEMBER | 4886370 |
| MILLER, JOHN R | TREASURER AND FINOP | 6933635 |
| MILLER, JOHN R | PRINCIPAL FINANCIAL OFFICER | 6933635 |
| PULLINS, MATTHEW MICHAEL | CHIEF FINANCIAL OFFICER | 4366952 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| THOMAS, MICHAEL | CHAIRMAN | 2992653 |
| TOBUN, ABI | BOARD MEMBER | 4878954 |
| WILLIAMS, TROY MATTHEW | PRINCIPAL OPERATIONS OFFICER | 7763919 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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