Michael B. Goodwin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Barton Goodwin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 11 firms and has passed the Series 63, Series 79TO, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2020 - August 21, 2025
R.W.PRESSPRICH & CO.
March 23, 2020 - April 17, 2020
ODEON CAPITAL GROUP LLC
January 6, 2009 - April 7, 2020
R.W.PRESSPRICH & CO.
July 6, 2006 - January 5, 2009
GUGGENHEIM SECURITIES, LLC
May 2, 2005 - July 10, 2006
AURIA SERVICES CORP.
January 28, 2004 - March 31, 2005
GUGGENHEIM SECURITIES, LLC
May 19, 2003 - January 26, 2004
BGC FINANCIAL, L.P.
April 12, 2002 - May 29, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 5, 1999 - March 13, 2002
ABN AMRO INCORPORATED
June 29, 1998 - May 13, 1999
UBS SECURITIES LLC
May 7, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
September 18, 1995 - April 21, 1997
CIBC WORLD MARKETS CORP.
December 18, 1992 - September 25, 1995
R.W.PRESSPRICH & CO.
July 31, 1978 - November 9, 1978
WILSON WHITE, BELF, LAKE, ROCHLIN & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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