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BROCK ALLEN GOODWIN
BROCK GOODWIN
CRD#: 4402141
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 245 SUMMER STREET, V2A
BOSTON, MA 02210
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 MOUNT PLEASANT, TN
Registration History
2002200420062008201020122014201620182020202220242 FIRMS2003 - 2011 (7 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2011 - Present (13 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2003 (1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2012 - 2018 (6 years)IAMORGAN STANLEY (CRD# 7556)2002 - 2003 (1 year)
License(s)

State Registrations

B
Alabama 2/11/2011

B
North Carolina 1/7/2022

B
Florida 6/3/2020

B
South Carolina 1/7/2022

B
Georgia 1/7/2022

B
Tennessee 2/11/2011

B
Kentucky 2/11/2011

IA
Tennessee 7/13/2018

B
Mississippi 1/7/2022

IA
Texas 2/16/2023

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
245 SUMMER STREET, V2A, BOSTON, MA 02210
Registered with this firm since 7/13/2018

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
MOUNT PLEASANT, TN
100 HOWE DRIVE, COVINGTON, KY 41015
Registered with this firm since 2/11/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/19/2012 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) SPRING HILL, TN
IA
10/30/2003 - 01/12/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) NASHVILLE, TN
B
10/27/2003 - 01/12/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) NASHVILLE, TN
IA
02/05/2002 - 07/28/2003 MORGAN STANLEY (CRD#:7556) ALBUQUERQUE, NM
B
08/07/2001 - 07/28/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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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.