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John Willis Goodwin

CRD# 871469·Registered 1979 - 2022
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Willis Goodwin was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1979 - 2022. John had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

47 years in the financial services industry

Current & Past Employments

RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
Albuquerque, NM
July 10, 2020 - August 9, 2022
RBC CAPITAL MARKETS, LLC·CRD# 31194
RIA
Albuquerque, NM
April 8, 2020 - August 9, 2022
MIAI, INC.·CRD# 111695
RIA
Albuquerque, NM
September 8, 2016 - August 7, 2020
MAPLEWOOD INVESTMENTS, INC.·CRD# 103723
BD
Albuquerque, NM
August 29, 2016 - August 7, 2020
GOODWIN SECURITIES, INC·CRD# 27523
RIA
Albuquerque, NM
June 23, 2003 - August 31, 2016
GOODWIN, BROWNING & LUNA SECURITIES, INC.·CRD# 117497
RIA
Albuquerque, NM
April 9, 2003 - June 23, 2003
GOODWIN SECURITIES, INC·CRD# 27523
BD
Albuquerque, NM
February 19, 1991 - October 28, 2016
MAY FINANCIAL CORPORATION·CRD# 3927
BD
Dallas, TX
October 9, 1990 - February 27, 1991
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
August 25, 1989 - October 22, 1990
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
New York, NY
May 2, 1986 - August 25, 1989
E. F. HUTTON & COMPANY INC·CRD# 235
BD
September 19, 1979 - May 12, 1986

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Current Firm

RC
RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED

CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

200 Vesey St., New York, NY 10281

Mailing Address

250 Nicollet Mall Suite 1600, Minneapolis, MN 55401

Phone Number

(612) 371-2811

Established

Minnesota since 11/01/2010

Firm Type

Limited Liability Company

Fiscal Year End

October

Firm Size

Large

# of Employees

8,781

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (9/30/2026)

Direct owners and executive officers

NamePositionCRD#
RBC USA HOLDCO CORPORATIONDIRECT OWNER—
ARMSTRONG, ROBERT MICHAELCEO, WEALTH MANAGEMENT1530547
CARLESIMO, PAUL ADAMCHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S.4718504
ESPENAK, KRISTEN ELIZABETHCHIEF RISK OFFICER, USA5570750
GLASSMAN, DORJE TSERINGCO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP6568226
O'CONNOR, SEAN WALTERCHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S.6578918
PENN, JOHN CHRISTOPHERGENERAL COUNSEL5135403
RICATTI, JENNIFER LEEPRINCIPAL FINANCIAL OFFICER4404128
SCHREINER, CINDY LOUISEUS WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER1470050
SPERDUTO, VITO ANTONIODIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD2524961
THORNE, BRETT LANEPRESIDENT, RBC CLEARING & CUSTODY2523268

Regulatory Assets Under Management

Total Number of Accounts

511,871

AUM (Assets Under Management)

$310,428,968,904

Disclosures

Regulatory Event

379

Civil Event

3

Arbitration

114

Bond

7

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025Cover PageReport
08/27/2024Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) TMF Foundation,Is Investment Related,Methodist foundation,Director,1/1/2012,1 hours per month,0 hours per month during trading hours,No Compensation ,On board of directors representing the state of NM 2) Name: Wespath Benefits and Investments Address: Business Description: Manages healthcare and retirement for Methodist Clergy Business is not investment related Projected Start Date: 09/15/11 Capacity: Board of Directors * Duties Performed: Advise the organization on their many policies related to benefits for the Methodist clergy Devoted to this OBA per Month: 2Hr Hours Devoted to this OBA during business hours: 1 3) Name: Texas Methodist Foundation Address: 11709 Boulder Lane, Ste 100 Austin, TX 78726-1808 Business Description: Non Profit Foundation serving Methodist churches primarily in TX and NM Business is not investment related Projected Start Date: 10/01/15 Capacity: Board of Directors * Duties Performed: I serve on the full board for 2 meetings per year. I also serve on the Audit Comm and the Investment Comm which meet by phone. Devoted to this OBA per Month: ½ hours Hours Devoted to this OBA during business hours: 0.25
(4) NAME OF ENTITY: Albuquerque Open Space Alliance ADDRESS: PO BOX 91265 ABQ, NM 87199 NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Support group to City Open Space Division CAPACITY: Director START DATE: 04/08/2021 DUTIES: Help the board transact their business of supporting the Open Space HOURS DEVOTED PER MONTH: 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE

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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".
RC
RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED

CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1979About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jul 1987About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 1979About the Series 7 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2023About the Series 9 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 24 — General Securities Principal Examination

Passed Nov 1990About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Jun 1985

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JG
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