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Dyan MARY Goodwin
CRD#: 1218548
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
BOSTON, MA 02110
Registration History
1985199019952000200520102015202020252 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - Present (15 years)BQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2000 - 2001 (1 year)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1995 - 1998 (3 years)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1992 - 1995 (2 years)BJOHN NUVEEN & CO., INCORPORATED (CRD# 469)1991 - 1992 (1 year)BMFS FINANCIAL SERVICES, INC. (CRD# 18309)1986 - 1991 (4 years)BMASSACHUSETTS FINANCIAL SERVIC... (CRD# 7383)1984 - 1987 (3 years)IAQUICK & REILLY, INC. (CRD# 11217)2004 - 2004 (<1 year)
License(s)

State Registrations

B
California 1/9/2017

B
Maine 6/12/2019

B
Colorado 9/13/2021

B
Massachusetts 10/23/2009

IA
Connecticut 10/23/2009

B
New Hampshire 9/29/2020

B
Connecticut 4/5/2016

IA
New Hampshire 12/7/2020

B
Delaware 11/16/2011

B
New Jersey 11/25/2022

B
Florida 3/10/2015

B
North Carolina 7/17/2017

B
Georgia 3/30/2017

B
Pennsylvania 7/22/2024

B
Kentucky 10/23/2023

B
South Carolina 6/22/2022

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
IA
01/07/2004 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) BOSTON , MA
B
03/27/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
02/15/2000 - 11/29/2001 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
B
03/31/1995 - 03/05/1998 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
B
09/12/1992 - 03/31/1995 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
B
07/01/1991 - 09/11/1992 JOHN NUVEEN & CO., INCORPORATED (CRD#:469) CHICAGO, IL
B
12/23/1986 - 06/06/1991 MFS FINANCIAL SERVICES, INC. (CRD#:18309) BOSTON, MA
B
01/24/1984 - 01/09/1987 MASSACHUSETTS FINANCIAL SERVICES COMPANY (CRD#:7383)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.