Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bernard Goodwin has been in the financial services industry since 1987. He is currently a registered representative of Wells Fargo Clearing Services, LLC and an Investment Advisor Representative in Texas and New Jersey. Thomas is a registered principal in 2 states and holds multiple professional designations and licenses including Series 65, Series 63, Series 7, Series 10, Series 9 and the SIE. Prior to Wells Fargo Clearing Services, Thomas worked for several other firms, including First Union Brokerage Services, Inc., First Fidelity Brokers, Inc., Prudential Securities Incorporated, First Colonial Securities Group, Inc. and The Investment Center, Inc.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
03/13/2015 - Present
Wells Fargo Clearing Services, LLC (MARGATE CITY NJ)
NC
01/01/1996 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NJ
12/03/1992 - 01/01/1996
FIRST FIDELITY BROKERS, INC. (NEWARK NJ)
NY
04/24/1992 - 11/24/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
FL
03/19/1992 - 04/21/1992
FIRST COLONIAL SECURITIES GROUP, INC. (BOCA RATON FL)
NJ
02/13/1990 - 05/14/1991
THE INVESTMENT CENTER, INC. (BEDMINSTER NJ)
NY
11/21/1986 - 02/27/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 05/24/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/31/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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