Michael F. 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 Frank Goodwin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 18 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2006 - June 8, 2006
STERNE, AGEE & LEACH, INC.
October 10, 2005 - February 10, 2006
BUTLER, WICK & CO., INC.
December 7, 2004 - March 1, 2005
INTERCAPITAL SECURITIES LLC
December 5, 1997 - October 22, 2004
ADVEST, INC.
January 10, 1997 - October 24, 1997
VINING-SPARKS IBG, LLC
October 4, 1994 - January 15, 1997
TUCKER ANTHONY INCORPORATED
November 15, 1993 - November 1, 1994
BANC ONE CAPITAL MARKETS, INC.
July 5, 1990 - October 6, 1993
HAMILTON INVESTMENTS, INC.
June 16, 1989 - June 19, 1990
BLUNT ELLIS & LOEWI INCORPORATED
September 10, 1987 - July 16, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
June 19, 1982 - January 7, 1985
MARCUS, STOWELL & BEYE, INC.
May 12, 1982 - May 19, 1982
UBS FINANCIAL SERVICES INC.
April 1, 1982 - April 21, 1982
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
December 22, 1980 - April 9, 1981
RAYMOND JAMES & ASSOCIATES, INC.
June 3, 1977 - June 30, 1978
RODMAN & RENSHAW INC.
May 10, 1976 - May 18, 1977
L. F. ROTHSCHILD & CO. INCORPORATED
August 18, 1975 - May 8, 1976
KUHN LOEB & CO. INCORPORATED
May 1, 1970 - September 29, 1975
BACHE & CO 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
Exams
Series 1
Date: 4/27/1970
Registered Representative ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
