Raymond Brown

GOODWIN INVESTMENT ADVISORY

Woodstock, GA 30188

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CRD#: 7604484

Professional summary

Raymond Brown, who also goes by Ray Brown, is a registered financial advisor currently at GOODWIN INVESTMENT ADVISORY located in Woodstock, Georgia.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Raymond has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ray Brown

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. PRODUCTION BADGER, LLC - Service and rental company for plastic ID card printers and supplies. Mainly utilized by film industry teams for generating crew ID badges for production staff and onset security. 2. FIRST TIER PROPERTIES, LLC - Rental real estate holding company, linked property is managed and leased by/through a third party company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Brown's CRS (Customer Relationship Summary).

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

August 10, 2022 - Present

GOODWIN INVESTMENT ADVISORY

Office #1: 238 River Park N Dr., Woodstock, GA 30188

RIA

CRD#: 131193

Woodstock, GA

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".

GOODWIN INVESTMENT ADVISORY

GOODWIN INVESTMENT ADVISORY | GOODWIN INVESTMENT ADVISORY, LLC

CRD#: 131193 / SEC#: 801-117942

RIA

Registered Investment Advisory firm - (1/16/2020 Approved)

Georgia

Registered Investment Advisory firm - (2/21/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/28/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Georgia
(8/10/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/22/2022

Uniform Investment Adviser Law Examination

Current Firm

GOODWIN INVESTMENT ADVISORY

GOODWIN INVESTMENT ADVISORY | GOODWIN INVESTMENT ADVISORY, LLC

CRD#: 131193 / SEC#: 801-117942

RIA

Registered Investment Advisory firm - (1/16/2020 Approved)

Georgia

Registered Investment Advisory firm - (2/21/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/28/2020 Terminated)

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Contact information

Main Address

238 River Park N Dr., Woodstock, GA 30188

Mailing Address

Phone number

(678) 741-2370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 344,435,070

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/02/2022	Cover Page	Report

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.

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Raymond Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOODWIN INVESTMENT ADVISORY

Primary Firm SEC Registration

GOODWIN INVESTMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2022

Current Firm

GOODWIN INVESTMENT ADVISORY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GOODWIN INVESTMENT ADVISORY

TRUST BUT VERIFY

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