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MG

Michael B. Goodwin

MISCHLER FINANCIAL GROUP
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 502533
MG

Professional summary

Michael Barton Goodwin is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1978. Michael has worked at 12 firms and has passed the Series 66, Series 63, Series 79TO, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Barton 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®
None

Experience

Current

April 17, 2026 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: Harbor Landing 46 Southfield Avenue, Suite 200, Stamford, CT 06902
BD
CRD#: 37818
Stamford, CT
Past

April 8, 2020 - August 21, 2025

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

March 23, 2020 - April 17, 2020

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

January 6, 2009 - April 7, 2020

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

July 6, 2006 - January 5, 2009

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

May 2, 2005 - July 10, 2006

AURIA SERVICES CORP.

BD
CRD#: 27851
NEW YORK, NY
Past

January 28, 2004 - March 31, 2005

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

May 19, 2003 - January 26, 2004

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

April 12, 2002 - May 29, 2003

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

May 5, 1999 - March 13, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

June 29, 1998 - May 13, 1999

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 7, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

September 18, 1995 - April 21, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 18, 1992 - September 25, 1995

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

July 31, 1978 - November 9, 1978

WILSON WHITE, BELF, LAKE, ROCHLIN & CO.

BD
CRD#: 6986

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(4/17/2026)
RR
Connecticut
(4/17/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/29/2025
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/17/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Stamford, CT 06902

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