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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

DANIEL BRUCE GOODWIN

Advisor at SPC

ANN ARBOR, MI | York, NE

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2005 to Sep 15, 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: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 5, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 5, 2005
First registration: Feb 9, 2005
Dual registered: yes, broker-dealer
Other names: DAN GOODWIN
IAPD individual key: 4867964

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
Spc	Bd affiliated wealth	Mar 19, 2012	n/a	yes	ANN ARBOR, MI\|York, NE	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jun 20, 2008	Mar 16, 2012	no	YORK, NE	Previous registration
Spc	Bd affiliated wealth	May 3, 2007	May 7, 2008	no	OMAHA, NE	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 9, 2005	Jul 20, 2005	no	OMAHA, NE	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
PRINCIPAL SECURITIES, INC.	Spc	Mar 16, 2012	Mar 19, 2012	3	Firm change	Other
Spc	PRINCIPAL SECURITIES, INC.	May 7, 2008	Jun 20, 2008	44	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	Spc	Jul 20, 2005	May 3, 2007	652	Firm change after gap	Other

Relationships

Registered with (3)

→ SPCRegistered adviserregistration: previous registration
May 3, 2007 to May 7, 2008factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 20, 2008 to Mar 16, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 9, 2005 to Jul 20, 2005factForm ADV

Dated events

No dated event names this entity yet.