Richard B Goodwyn

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

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

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

Current Employers

J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-01-13
NY	RA	APPROVED	2021-05-03
SC	RA	APPROVED	2020-12-22
NC	RA	APPROVED	2014-07-01
LA	RA	APPROVED	2014-06-30
TX	RA	APPROVED_RES	2014-06-26
OH	RA	APPROVED	2011-06-09
NJ	RA	APPROVED	2011-04-15

FL RA
APPROVED

Since 2022-01-13
NY RA
APPROVED

Since 2021-05-03
SC RA
APPROVED

Since 2020-12-22
NC RA
APPROVED

Since 2014-07-01
LA RA
APPROVED

Since 2014-06-30
TX RA
APPROVED_RES

Since 2014-06-26
OH RA
APPROVED

Since 2011-06-09
NJ RA
APPROVED

Since 2011-04-15

Branch Locations

Bluffton, SC • United States

277 Park Avenue 2Nd & 3Rd Floor, New York, NY 10172 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
J.P. Morgan Securities Llc	South Carolina	SC	04/2011	Present
Jpmorgan Chase Bank, N.A.	South Carolina	SC	04/2011	Present
Mitchell Partners, Llc	Bluffton	SC	11/2016	Present

04/2011 → Present

J.P. Morgan Securities Llc

South Carolina, SC
04/2011 → Present

Jpmorgan Chase Bank, N.A.

South Carolina, SC
11/2016 → Present

Mitchell Partners, Llc

Bluffton, SC

Previous Registrations

2009-01-21 → 2011-05-02

Barclays Capital Inc.

New York, NY
2008-03-12 → 2008-10-15

Lehman Brothers Inc.

New York, NY

New York, NY

New York, NY

Other Businesses

Entity Name: Mitchell Partners, LLC Investment related: Yes Address: Private Residence Nature of the other business: Investments Position/Title/Relationship: General Partner Start Date: 18-Nov-2016 Approximate # of hours a month: as needed Approximate # of hours during securities trading hours: minimal Briefly describe your duties: Managing member Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-03-11
S63	Uniform Securities Agent State Law Examination	2006-01-17

S65 Uniform Investment Adviser Law Examination

2008-03-11
S63 Uniform Securities Agent State Law Examination

2006-01-17

Other Names

Richard B Jr Goodwyn

View on SEC IAPD