Dan Goodwin: Provident, Ex-AAG Advisor Faces $186K Complaint

Recent investor complaints against The Woodlands, Texas financial advisor Dan Goodwin (CRD# 5752768) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Great Point Capital and as an investment advisor with Provident Wealth Advisors and Accurate Wealth Management.

Mr. Goodwin’s BrokerCheck report discloses two investor complaints. The most recent, filed in April 2026, alleges that as a representative of AAG Capital, he recommended unsuitable investments. The pending complaint alleges damages of $186,756.35.

A second investor complaint, filed in March 2026, similarly alleges that as a representative of AAG Capital, he made unsuitable investment recommendations involving direct investments and real estate securities. The pending complaint alleges damages of $277,785.11.

FINRA rules prohibit brokers from making investment recommendations that are considered unsuitable for an investor. Unsuitable investments and strategies are understood as those not based in a “firm understanding of both the product and the customer,” as described by FINRA Rule 2111. This rule stipulates that brokers must conduct “reasonable diligence” to ascertain whether investments are suitable for a customer’s background and objectives. They must ensure that the recommendation is suitable for some investors; that it is suitable for the individual customer to which they are making it; and that, if they are recommending a series of transactions to a customer over whose account they have actual or de facto control, the transactions are suitable when taken together as well as when viewed in isolation. Brokers who make unsuitable investment recommendations may be liable to their clients in the event of losses.

According to the Financial Industry Regulatory Authority, Dan Goodwin holds 16 years of securities industry experience. Based in The Woodlands, Texas, he has been registered as a broker with Great Point Capital since 2024,  an investment advisor with Provident Wealth Advisors since 2022, and an investment advisor with and Accurate Wealth Management since 2011. His past registrations include AAG Capital, Gradient Advisors, and Gradient Investments. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Direct Participation Programs Representative Examination, or Series 22TO; the Investment Company Products/Variable Contracts Representative Examination, or Series 6TO; and the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63. He holds 52 state licenses. (Information current as of April 19, 2026.)

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