DG
Daniel T. Goodwin
CETERA INVESTMENT ADVISERS LLC
FREDERICKSBURG, VA 22407
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CRD#: 5440531
DG
Professional summary
Daniel Thomas Goodwin, who also goes by Dan Goodwin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fredericksburg, Virginia and CETERA WEALTH SERVICES, LLC located in Fredericksburg, Virginia.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Goodwin
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) Goodwin & Smith Insurance Services~180 Chatham Heights Rd~Fredericksburg~VA~22405~Insurance Agent~Owner~8/1/2012~20hrs~10hrs~prospect, quote, bind insurance policies for clients. 2) Rappahannock Properties Inc.~2217 Princess Anne St~Fredericksburg~VA~22405~Rental Property~Other~7/1/2013~5hrs~5hrs~assist insetting up signs for properties, general labor. assist wife who is owner by taking boxes to storage and assisting with cleaning out of vacant properties as needed. 3) Anthem Blue Cross Blue Shield/Health Keeper~180 Chatham Heights Road~Fredericksburg~VA~22405~Insurance Agent~Agent~11/7/2007~5hrs~5hrs~Quotung and sales of health insurance. 4) Kaiser Permenante~180 Chatham Heights Road~Fredericksburg~VA~22405~Insurance Agent~Agent~11/7/2007~5hrs~5hrs~sales and quoting health insurance. 5) Fredericksburg Masonic Museum Association~'NIR'~803 Princess Anne Street~Fredericksburg~VA~22401~Other~Other~2/1/2019~2hrs~2hrs~I am a at-large board member. I assist in leadership and manage the investment account for this organization. I do not participate investment related decisions of the board. I meet with the board several times a year to discuss the investment and if needed make recommendations. The board will then vote on the recommendations but I do not have a vote on this topic. My other duties include assisting with fund raising (golf tournament) and educational efforts. 6) GOODWIN & SMITH FINANCIAL SERVICES LLC POSITION: Owner NATURE: I use this DBA for consultation and counseling for all divorce related Clients... Under this designation I assist with Property settlement agreements, budgeting, and other financial counseling involved in the divorce process. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2020 ADDRESS: 180 Chatham Heights Rd, Fredericksburg VA 22405, United States DESCRIPTION: As stated above Under this OBA, I work only with individuals going through divorces, I meet with them, counsel on litigation procedures (not legal advice) but set expectations on what they can expect if they go to court, explain how child support works, spousal support works and so on... when a legal question is asked I refer them back to their attorney...no legal or financial advice given. More preparation of simple property settlement agreements, how to set up bill payments (some clients never had to pay the bills). Referrals to attorneys, CPAs, mortgage officers or other professionals when needed. 7) Goodwin & Smith FInancial Services; Independent Contractor; Certified Divorce Financial Analyst. CDFA- I will be using this designation once approved by compliance and will meet with prospective divorcees to assist in setting up post divorce budgets and separation of assets. No product information will be discussed.; IR; 25; 09/01/2018; Fredericksburg VA 22405; I will review assets to include retirement plans, homes, vacation homes, businesses to determine how to best equitably divide assets
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Thomas 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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 180 Chatham Heights Rd, Fredericksburg, VA 22407RIA
CRD#: 105644
FREDERICKSBURG, VA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 180 Chatham Heights Rd, Fredericksburg, VA 22405BD
CRD#: 13572
Fredericksburg, VA
Past
January 6, 2017 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Fredericksburg, VA
Past
January 6, 2017 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Fredericksburg, VA
Past
November 16, 2016 - January 12, 2017
INTERACTIVE FINANCIAL ADVISORS
RIA
CRD#: 125117
Oakbrook, IL
Past
January 2, 2014 - January 9, 2017
BROOKLIGHT PLACE SECURITIES, INC.
BD
CRD#: 15764
FREDERICKSBURG, VA
Past
April 9, 2008 - December 13, 2013
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
FAIRFAX, VA
Past
March 4, 2008 - December 13, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FAIRFAX, VA
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
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Florida(9/5/2025)
RR
Maryland(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Virginia(9/5/2025)
IAR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
