Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Peter Goetz has been in the securities industry since March 7, 1998. James currently works as a registered representative and Investment Advisor Representative for Stifel, Nicolaus & Company, Inc. in Fairport, NY. James is registered in 27 states and holds licenses for both securities and investment advising. James's previous role was with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pittsford, NY where he was employed from February 6, 1998 to September 19, 2014. James also serves on various committees for Heritage Christian Services, a human service agency in Upstate New York.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
10/21/2014 - Present
Stifel, Nicolaus & Company, Inc. (FAIRPORT NY)
NY
02/06/1998 - 09/19/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PITTSFORD NY)
IA
Issued 10/28/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 02/26/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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