Paul R. 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.
Paul Richard Goodwin was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1978. Paul had worked at 11 firms and has passed the Series 65, Series 63, 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
May 25, 2012 - April 16, 2018
KESTRA INVESTMENT SERVICES, LLC
August 12, 2010 - May 11, 2011
TRANSAMERICA INVESTORS SECURITIES, LLC
May 9, 2007 - August 5, 2010
KESTRA INVESTMENT SERVICES, LLC
November 1, 2001 - June 30, 2005
THE KELLEY GROUP, INC.
March 15, 1999 - January 10, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 2, 1997 - December 1, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 30, 1996 - December 31, 1996
NEW ENGLAND SECURITIES
November 23, 1992 - February 9, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 3, 1984 - December 3, 1991
SIGNATOR INVESTORS, INC.
January 10, 1984 - November 9, 1984
TRANSCAPITAL SECURITIES, INC.
January 8, 1982 - November 30, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
February 14, 1980 - March 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 1978 - March 4, 1980
PRUDENTIAL EQUITY GROUP, LLC
March 1, 1978 - April 27, 1978
BUTCHER & SINGER INC.
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
