YG
Yolanda Goodwin
PRINCIPAL ADVISED SERVICES
Riverview, FL
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CRD#: 6946985
YG
Professional summary
Yolanda Goodwin is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Riverview, Florida and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Yolanda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Yolanda has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE 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.
NON-SPONSORED LIFE/ANNUITY APPOINTMENTS POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/04/2023 ADDRESS: 12024 Colonial Estates, Riverview FL 33579, United States DESCRIPTION: Non sponsored life and annuity appointments for Lincoln National, John Hancock and Mass Mutual
CRS (Client Relationship Summary) - RIA
Click below to view Yolanda 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
February 5, 2025 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
Riverview, FL
Current
January 31, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262RIA
BD
CRD#: 1137
Charlotte, NC
Past
July 25, 2024 - October 31, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
TAMPA, FL
Past
December 4, 2023 - October 31, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
TAMPA, FL
Past
September 5, 2020 - September 18, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
TAMPA, FL
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 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
Alabama(1/31/2025)
RR
Alaska(1/31/2025)
RR
Arizona(1/31/2025)
RR
Arkansas(1/31/2025)
RR
California(1/31/2025)
RR
Colorado(1/31/2025)
RR
Connecticut(1/31/2025)
RR
Delaware(1/31/2025)
RR
District of Columbia(1/31/2025)
RR
Florida(1/31/2025)
IAR
Florida(2/6/2025)
RR
Georgia(1/31/2025)
RR
Hawaii(1/31/2025)
RR
Idaho(1/31/2025)
RR
Illinois(1/31/2025)
RR
Indiana(1/31/2025)
RR
Iowa(1/31/2025)
IAR
Iowa(2/5/2025)
RR
Kansas(1/31/2025)
RR
Kentucky(1/31/2025)
RR
Louisiana(1/31/2025)
RR
Maine(1/31/2025)
RR
Maryland(1/31/2025)
RR
Massachusetts(1/31/2025)
RR
Michigan(1/31/2025)
RR
Minnesota(1/31/2025)
RR
Mississippi(1/31/2025)
RR
Missouri(1/31/2025)
RR
Montana(1/31/2025)
RR
Nebraska(1/31/2025)
RR
Nevada(1/31/2025)
RR
New Hampshire(1/31/2025)
RR
New Jersey(1/31/2025)
RR
New Mexico(1/31/2025)
RR
New York(1/31/2025)
RR
North Carolina(1/31/2025)
RR
North Dakota(1/31/2025)
RR
Ohio(1/31/2025)
RR
Oklahoma(1/31/2025)
RR
Oregon(1/31/2025)
RR
Pennsylvania(1/31/2025)
RR
Rhode Island(1/31/2025)
RR
South Carolina(1/31/2025)
RR
South Dakota(1/31/2025)
RR
Tennessee(1/31/2025)
RR
Texas(1/31/2025)
RR
Utah(1/31/2025)
RR
Vermont(1/31/2025)
RR
Virginia(1/31/2025)
RR
Washington(1/31/2025)
RR
West Virginia(1/31/2025)
RR
Wisconsin(1/31/2025)
RR
Wyoming(1/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/5/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
