Frederick D. 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.
Frederick Deane Goodwin, who also goes by Fred Deane Goodwin III, Frederick Deane Goodwin, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1979. Frederick had worked at 6 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
June 3, 1998 - March 19, 2012
INVESTORS SECURITY COMPANY, INC.
February 20, 1987 - June 2, 1998
ROBERT W. BAIRD & CO. INCORPORATED
February 20, 1987 - June 9, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 16, 1985 - March 24, 1987
INVESTORS SECURITY COMPANY, INC.
December 2, 1983 - December 19, 1985
RTA INVESTMENTS COMPANY
July 21, 1981 - December 1, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 19, 1979 - July 10, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
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: 11/7/1979
Registered Representative ExaminationCurrent Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| Bond | 1 |
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.
