Individual Firm
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RICHARD B GOODWYN JR
RICHARD B JR GOODWYN
CRD#: 1621490
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J.P. MORGAN SECURITIES LLCCRD#: 79 Bluffton, SC
View By:
8/23/2016
Customer Dispute
Denied
State Registrations
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Alabama 4/15/2011
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New Hampshire 4/15/2011
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Alaska 4/15/2011
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New Jersey 4/15/2011
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Arizona 4/15/2011
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New Jersey 4/15/2011
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Arkansas 4/15/2011
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New Mexico 4/15/2011
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California 4/15/2011
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New York 4/15/2011
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Colorado 4/15/2011
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New York 5/3/2021
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Connecticut 4/15/2011
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North Carolina 4/15/2011
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Delaware 4/15/2011
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North Carolina 7/1/2014
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District of Columbia 4/15/2011
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North Dakota 4/15/2011
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Florida 4/15/2011
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Ohio 4/15/2011
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Florida 1/13/2022
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Ohio 6/9/2011
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Georgia 4/15/2011
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Oklahoma 4/15/2011
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Hawaii 4/15/2011
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Oregon 4/15/2011
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Idaho 4/15/2011
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Pennsylvania 4/15/2011
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Illinois 4/15/2011
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Puerto Rico 4/15/2011
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Indiana 4/15/2011
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Rhode Island 4/15/2011
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Iowa 4/15/2011
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South Carolina 4/15/2011
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Kansas 4/15/2011
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South Carolina 12/22/2020
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Kentucky 4/15/2011
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South Dakota 4/15/2011
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Louisiana 4/15/2011
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Tennessee 4/15/2011
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Louisiana 6/30/2014
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Texas 4/15/2011
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Maine 4/15/2011
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Texas 6/26/2014
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Maryland 4/15/2011
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Utah 4/15/2011
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Massachusetts 4/15/2011
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Vermont 4/15/2011
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Michigan 4/15/2011
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Virgin Islands 4/15/2011
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Minnesota 4/15/2011
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Virginia 4/15/2011
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Mississippi 4/15/2011
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Washington 4/15/2011
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Missouri 4/15/2011
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West Virginia 4/15/2011
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Montana 4/15/2011
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Wisconsin 4/15/2011
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Nebraska 4/15/2011
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Wyoming 4/15/2011
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Nevada 4/15/2011
SRO Registrations
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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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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/21/2009 - 05/02/2011 | NEW YORK, NY | |
B | 09/22/2008 - 05/02/2011 | NEW YORK, NY | |
IA | 03/12/2008 - 10/15/2008 | NEW YORK, NY | |
B | 01/09/2006 - 09/22/2008 | NEW YORK, NY | |
B | 07/24/2003 - 11/02/2005 | NEW YORK, NY | |
B | 05/28/1998 - 02/23/1999 | NEW YORK, NY | |
B | 12/05/1996 - 07/08/1998 | COLUMBUS, OH | |
B | 07/26/1994 - 05/08/1995 | NEW YORK, MD | |
B | 09/01/1993 - 05/04/1994 | NEW YORK, NY | |
B | 04/16/1990 - 03/08/1993 | JERSEY CITY, NJ | |
B | 03/08/1989 - 06/26/1989 | ||
B | 02/26/1987 - 02/22/1989 |
JERSEY CITY, NJ
04/16/1990 - 03/08/1993
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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.
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