Nicholas Goodwin
Nicholas Goodwin is a CFP-designated registered investment advisor at Private Advisor Group, LLC, based in Agoura Hills, CA, with 20 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 142,225 clients with $44B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Maximum annual fee is 2.00%, negotiable based on assets, account composition, and complexity.
Fee Estimator
Location
Agoura Hills, CA
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Nicholas operates G & D Financial LLC as a DBA for his LPL business and for tax/investment purposes, dedicating full-time hours to each. He is also an insurance agent with Watermark Insurance Services, spending minimal time, and provides investment advisory services through Mariner Independent Advisor Network LLC full-time, which is separate from LPL Financial. Finally, he operates Monterey Bay Wealth Management as a DBA for his LPL business, spending a few hours per week.
Employment History
Current Registrations
Private Advisor Group, LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Mariner Advisor Network
Summit Wealth Management Group, INC.
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
Northwestern Mutual Investment Services, LLCBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
State Registrations11 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
More Advisors
- Michael Anton, ChFCAmeriprise Financial Services, LLC
- Bryce Wallington, CFPEdward Jones
- Russell Suede, CFP, PFSLPL Financial LLC
- Ira Zito, CFP, ChFCFinancial Peak
- Salleh Beitollahi, CFPPlanmember Securities Corporation
- Jean-Luc Nouzille, CFABristlecone Value Partners, LLC