Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Goodwin is a financial advisor with Fidelity Personal and Workplace Advisors. Brock has been working in the financial services industry since 2003. He has held previous roles at Securities America, Inc., Mutual of Omaha Investor Services, Inc., and Saybrus Equity Services, Inc. Brock is registered to provide investment advice in 53 states and is also registered with FINRA. Brock specializes in providing financial planning, portfolio management for businesses and individuals, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CO
07/13/2021 - Present
Fidelity Personal AND Workplace Advisors (GREENWOOD VILLAGE CO)
CO
03/29/2018 - 05/06/2021
SECURITIES AMERICA, INC. (DENVER CO)
CO
11/05/2014 - 03/09/2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CENTENNIAL CO)
CT
12/13/2013 - 10/03/2014
SAYBRUS EQUITY SERVICES, INC (HARTFORD CT)
CO
04/07/2003 - 12/17/2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (ENGLEWOOD CO)
BC
Issued 01/23/2007
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/09/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/22/2015
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/22/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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