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Detailed Report
ANTONIO DEVON GOODWIN
ANTONIO GOODWIN
CRD#: 4747980
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 242 S DE LACEY AVE
PASADENA, CA 91105-2006
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2025 - Present (<1 year)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2015 - 2025 (9 years)BRBS SECURITIES INC. (CRD# 11707)2009 - 2013 (4 years)BUBS SECURITIES LLC (CRD# 7654)2008 - 2009 (<1 year)BUBS SECURITIES LLC (CRD# 7654)2004 - 2008 (4 years)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2017 - 2025 (7 years)
Disclosure(s)
View By:
4/10/2019
Judgment / Lien
3/7/2019
Judgment / Lien
4/5/2018
Judgment / Lien
License(s)

State Registrations

B
California 2/26/2025
IA
California 2/27/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
LOS ANGELES, CA
Registered with this firm since 2/27/2025
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
LOS ANGELES, CA
Registered with this firm since 2/26/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/22/2017 - 02/18/2025 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Los Angeles, CA
B
 08/18/2015 - 02/18/2025 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Los Angeles, CA
B
 07/08/2009 - 10/16/2013 RBS SECURITIES INC. (CRD#:11707) MANHATTAN BEACH, CA
B
 12/18/2008 - 07/23/2009 UBS SECURITIES LLC (CRD#:7654) EL SEGUNDO, CA
B
 06/24/2004 - 12/03/2008 UBS SECURITIES LLC (CRD#:7654) EL SEGUNDO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.