David Lee Goodrich

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/1997 → Present
  Princor Financial Services Corporation
  Richardson, TX
• 07/1998 → Present
  Principal Life Insurance Co
  Des Moines, IA
• 01/2024 → Present
  Osaic Wealth, Inc.
  Lucas, TX

Previous Registrations

• 2005-05-18 → 2024-01-19
  Woodbury Financial Services, Inc.
  Richardson, TX
  Mckinney, TX
  Richardson, TX
  Lucas, TX
  Dallas, TX

Other Businesses

1)GOODRICH FINANCIAL SERVICES; INV RELATED; 15851 N DALLAS PKWY STE 525 ADDISON,TX 75001 AND 33 LOCHLEVEN STE 100, RICHARDSON, TX 75081; INSURANCE SALES AND INVESTMENTS AND BENEFITS; MANAGING PARTNER; START 09/01/1997; 160HR/MTH; 160HR/MTH DURING TRADING; ANALYSIS, SALES AND IMPLEMENTATION. 2)MEDCON BENEFITS; NONINVT REL; 12400 COIT ROAD SUITE 1040, DALLAS, TX 75251; GROUP BENEFITS; REFERRING REP; START 10/01/2010; 2 HRS/MTH; 1 HR/MTH DURING TRADING; REFER GROUP BUSINESS TO THEM WHEN APPROPRIATE. 3) OIL AND GAS ROYALTIES POSITION: Owner of the Royalties NATURE: Oil and Gas Royalties that I inherited. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/31/1986 ADDRESS: 2804 Jessica Ln., Lucas TX 75002, United States DESCRIPTION: I inherited oil and gas royalties from my Grandfather at my age 17. He set up a trust on my behalf that these royalties where in at the time of his death. The trust terminated and now receive these royalties directly from the companies. I was told that I now need to report these as an OBA. Listed below are the three companies that I receive royalties from . Enterprise Crude Oil LLCJP Energy Production Sunco Oil 4) BENEFITS TEXAS POSITION: Sales NATURE: Group Employee Benefits for Small Companies. They are an LLC I believe INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 3 START DATE: 09/15/2017 ADDRESS: 5420 LBJ Freeway, Suite 295, Dallas TX 75240, United States DESCRIPTION: I am already calling on small business and surrounded by other business owners. So as I call on them for personal planning and other things, I also ask if they would be open to Benefits Texas bidding on their group benefits. 5) CORE INCOME POSITION: writing agent NATURE: CORE INCOME is a MGA i am starting to use for Long Term Care and Term Life products. I write some business through them directly as the need arises with these products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 10/30/2018 ADDRESS: 600 Hwy 169 S, #1425, St. Louis Park MN 55426, United States DESCRIPTION: As I meet with clients and they have a need for Term or Long Term Care, I use Core Income to get me quotes and write business sometimes. 6) LEGACY INVESTMENT SERVICES, INC. POSITION: Senior Partner NATURE: It is a DBA I use for all of my Investment and Insurance business. I am a Sole Proprietor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 140 START DATE: 04/01/2013 ADDRESS: 15851 N. Dallas Parkway, Suite 525, Addison TX 75001, United States DESCRIPTION: Investment and Insurance analysis, sales and implementation.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-03-02
• S63 Uniform Securities Agent State Law Examination
  1997-11-03