James Peter Goetz

Current Employers

Employment History

• 10/2014 → Present
  Stifel Nicolaus & Co Inc
  Rochester, NY

Previous Registrations

• 1999-01-21 → 2014-09-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rochester, NY
  Pittsford, NY

Other Businesses

1. RENTAL PROPERTY; MULTIPLE RENTAL PROPERTIES ROCHESTER NY; OWNER; AFFILIATION STARTED 01/10/2001; 10 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS. 2. Heritage Christian Services Foundation; 275 Kenneth Dr, Suite 100 Rochester NY 14623; human services agency in Upstate New York that works to make sure everyone feels valued; Investment Committee Member; Help monitor Foundation investments; 02/06/2019; 2.00 Hour(s) Per Quarter; during securities trading hours; Not Investment-Related. 3. Heritage Christian Services; 275 Kenneth Dr, Suite 100, Rochester, NY 14623; Human service agency providing care to people with intellectual and developmental disabilities; Foundation Board Member; Attend board meetings to assist with the Foundation objectives; 12/20/2021; 4 Hours per Quarter; During Securities Trading Hours; Not Investment-Related. 4. Heritage Christian Services; 275 Kenneth Dr, Suite 100, Rochester, NY 14623; Human service agency that works to make sure everyone feels valued; Events task force committee member; Develop events to raise awareness about fund raising campaign; 03/18/2022; 2 Hours per Month; During Securities Trading Hours; Not Investment-Related. 5. Heritage Christian Services; 275 Kenneth Dr, Suite 100, Rochester, NY 14623; Human service agency that works to make sure everyone feels valued; Prospect Task Force Committee; Identifying potential donors; 04/08/2022; 6 Hours per Quarter; During Securities Trading Hours; Not Investment-Related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-10-28
• S66 Uniform Combined State Law Examination
  1998-02-26

Other Names

• James Peter Goetz
• Jim Goetz