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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

STEVEN ROBERT GOODWIN

Advisor at MORGAN STANLEY

Chicago, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 8, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 29, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 29, 2001
First registration: Feb 8, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4306610

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Jun 1, 2009	n/a	yes	Chicago, IL	Current employment
MORGAN STANLEY & CO. LLC	n/a	Apr 25, 2008	Jun 1, 2009	no	CHICAGO, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 3, 2003	May 5, 2008	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 8, 2001	Dec 20, 2002	no	NORTHBROOK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY & CO. LLC	May 5, 2008	Apr 25, 2008	-10	Firm change	Other
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	Dec 20, 2002	Jan 3, 2003	14	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jun 1, 2009 to presentfactForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 25, 2008 to Jun 1, 2009factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 3, 2003 to May 5, 2008factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 8, 2001 to Dec 20, 2002factForm ADV

Dated events

No dated event names this entity yet.