Individual Firm
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THOMAS BERNARD GOODWIN SR
CRD#: 1589512
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WELLS FARGO ADVISORSCRD#: 19616 8013 ATLANTIC AVE
MARGATE CITY, NJ 08402
MARGATE CITY, NJ 08402
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10/17/1990
Customer Dispute
Award / Judgment
State Registrations
B
Arkansas 6/7/2024
B
New Jersey 10/1/2000
B
California 10/1/2000
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New Jersey 1/6/2004
B
Colorado 12/27/2018
B
New Mexico 2/1/2012
B
Connecticut 10/1/2000
B
New York 10/1/2000
B
Delaware 10/1/2000
B
North Carolina 10/1/2000
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District of Columbia 12/22/2021
B
Pennsylvania 10/1/2000
B
Florida 10/1/2000
B
Rhode Island 5/4/2023
B
Georgia 1/9/2019
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South Carolina 5/17/2004
B
Maryland 10/1/2000
B
Tennessee 10/7/2022
B
Massachusetts 3/6/2020
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Texas 3/13/2015
B
Michigan 12/27/2018
B
Texas 3/16/2015
B
Minnesota 12/24/2018
B
Virginia 10/1/2000
SRO Registrations
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B
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B
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 1/6/2004
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Registered with this firm since 10/1/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/01/1996 - 10/01/2000 | CHARLOTTE, NC | |
B | 12/03/1992 - 01/01/1996 | NEWARK, NJ | |
B | 04/24/1992 - 11/24/1992 | NEW YORK, NY | |
B | 03/19/1992 - 04/21/1992 | BOCA RATON, FL | |
B | 02/13/1990 - 05/14/1991 | BEDMINSTER, NJ | |
B | 11/21/1986 - 02/27/1990 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.