Michael Wayne Goodwin

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

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

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-09-09

TX RA
APPROVED_RES

Since 2011-09-09

Branch Locations

5234 Institute Ln., Houston, TX 77005 • United States

2202 Timberloch Place Suite 100, The Woodlands, TX 77380 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cambridge Investment Research, Inc.	Fairfield	IA	09/2011	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	09/2011	Present

09/2011 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
09/2011 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2008-04-28 → 2011-09-15

Mml Investors Services, Llc

Houston, TX

The Woodlands, TX

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30 HR/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2) STERLING Financial, 2204 TIMBERLOCH PL, STE 227 THE WOODLANDS, TX, 01/2007 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. SALES HEALTH PLANS AND ANCIALLARY INSURANCE TO SMALL TO MEDIUM SIZED BUSINESSES. NOT INVESTMENT RELATED. DEVOTES 5 HRS/WK. 5 HOURS DURING TRADING. 3) STERLING Financial, 2204 TIMBERLOCH PL, STE 227 THE WOODLANDS, TX, 4/2014 PROVIDING ACCOUNTING SERVICES. NOT INVESTMENT RELATED. DEVOTES 2 HR/MO; 1-2 HR DURING TRADING. 4.GOODWIN & MENARD LLC dba STERLING WEALTH ADVISORS; 2204 TIMBERLOCK PL, STE 227,THE WOODLANDS, TX, 12/2016 AS PART-OWNER IN LLC FOR TAX LIABILITY PURPOSES. INV REL - 35/WK - 35/TRADING. 5. SECOND SATURDAY - THE WOODLANDS, The Woodlands TX 77380, 03/2025, COACH, VOLUNTEER, NIR, 10 HR/MO - 5 HR/MO TRADING. 6. GOODWIN & MENARD LLC DBA STERLING TOTAL WEALTH SOLUTIONS, 2202 Timberloch Place, Suite 100, The Woodlands TX 77380, 12/01/2016, W2 Employee, Owner/Partner of a Business Entity, NIR, 140 HR/MO - 140 HR/MO TRADING

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-04-15
S63	Uniform Securities Agent State Law Examination	2004-08-23

S65 Uniform Investment Adviser Law Examination

2008-04-15
S63 Uniform Securities Agent State Law Examination

2004-08-23

View on SEC IAPD