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Detailed Report
MONIQUE RENEE GOODWIN
Monique Renee Williams, Monique Williams
CRD#: 6873147
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 550 S TRYON ST 44TH & 45TH FLS
CHARLOTTE, NC 28202
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2018 (<1 year)2 FIRMS2018 - 2022 (4 years)2 FIRMS2023 - Present (2 years)
License(s)

State Registrations

B
Alaska 1/6/2023
B
Montana 4/2/2025
B
California 1/6/2023
B
New Jersey 1/6/2023
B
Colorado 3/5/2024
B
New York 1/6/2023
B
Connecticut 1/6/2023
B
North Carolina 1/6/2023
B
Florida 1/6/2023
IA
North Carolina 2/14/2025
B
Georgia 1/6/2023
B
Ohio 1/6/2023
B
Idaho 3/5/2024
B
South Carolina 1/6/2023
B
Indiana 1/6/2023
IA
South Carolina 1/6/2023
B
Kentucky 1/6/2023
B
Tennessee 4/2/2025
B
Maine 11/22/2024
B
Texas 1/6/2023
B
Maryland 1/6/2023
B
Utah 1/6/2023
B
Massachusetts 1/6/2023
B
Virginia 1/6/2023
B
Michigan 12/10/2024
B
Washington 11/22/2024
B
Minnesota 1/6/2023
B
West Virginia 4/2/2025
B
Missouri 1/6/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
550 S TRYON ST 44TH & 45TH FLS, CHARLOTTE, NC 28202
Registered with this firm since 1/6/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
550 S TRYON ST 44TH & 45TH FLS, CHARLOTTE, NC 28202
Registered with this firm since 1/6/2023
Previous Registration(s)
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IA
 10/25/2018 - 12/13/2022 TRUIST ADVISORY SERVICES, INC. (CRD#:283390) CHARLESTON, SC
B
 10/22/2018 - 12/13/2022 TRUIST INVESTMENT SERVICES, INC. (CRD#:17499) CHARLESTON, SC
IA
 04/03/2018 - 10/02/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLESTON, SC
B
 02/13/2018 - 10/02/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLESTON, SC
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.