MG
Michael W. Goodwin
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Houston, TX 77005
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CRD#: 4791875
MG
Professional summary
Michael Wayne Goodwin is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Houston, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in The Woodlands, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30 HR/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2)STERLING Financial, 2204 TIMBERLOCH PL, STE 227 THE WOODLANDS, TX, 01/2007 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. SALES HEALTH PLANS AND ANCIALLARY INSURANCE TO SMALL TO MEDIUM SIZED BUSINESSES. NOT INVESTMENT RELATED. DEVOTES 5 HRS/WK. 5 HOURS DURING TRADING. 3)STERLING Financial, 2204 TIMBERLOCH PL, STE 227 THE WOODLANDS, TX, 4/2014 PROVIDING ACCOUNTING SERVICES. NOT INVESTMENT RELATED. DEVOTES 2 HR/MO; 1-2 HR DURING TRADING. 4.GOODWIN & MENARD LLC dba STERLING WEALTH ADVISORS; 2204 TIMBERLOCK PL, STE 227,THE WOODLANDS, TX, 12/2016 AS PART-OWNER IN LLC FOR TAX LIABILITY PURPOSES. INV REL - 35/WK - 35/TRADING. 5. THE WOODLANDS ARTS COUNCIL, 2099 LAKE ROBBINS ROAD, THE WOODLANDS, TX, BOARD MEMBER OF A NON-PUBLIC ENTITY, 08/31/20, NIR, 5/MO- 1/TRADING 6. SECOND SATURDAY - THE WOODLANDS, The Woodlands TX 77380, 03/2025, COACH, VOLUNTEER, NIR, 10 HR/MO - 5 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Wayne Goodwin'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
September 8, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 5234 Institute Ln., Houston, TX 77005Office #2: 2202 Timberloch Place Suite 100, The Woodlands, TX 77380RIA
CRD#: 134139
Houston, TX
Current
September 8, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2202 Timberloch Place Suite 100, The Woodlands, TX 77380Office #2: 2202 Timberloch Place, Suite 100, The Woodlands, TX 77380BD
CRD#: 39543
The Woodlands, TX
Past
April 28, 2008 - September 15, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
THE WOODLANDS, TX
Past
September 1, 2006 - September 15, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
THE WOODLANDS, TX
Past
August 18, 2004 - September 1, 2006
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HOUSTON, TX
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.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
California(4/5/2019)
RR
Colorado(4/5/2019)
RR
Florida(8/4/2016)
RR
Illinois(1/4/2021)
RR
Iowa(9/8/2011)
RR
Louisiana(11/10/2021)
RR
Massachusetts(6/22/2022)
RR
Oregon(4/25/2018)
RR
Pennsylvania(10/11/2017)
RR
Texas(9/8/2011)
IAR
Texas(9/8/2011)
RR
Utah(5/23/2023)
RR
Wisconsin(9/8/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/18/2010
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
