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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Private Advisor Group, Llc | Morristown | NJ | 01/2024 | Present |
| Western Kentucky University | Bowling Green | KY | 08/2020 | 12/2023 |
| Owensboro Country Club | Owensboro | KY | 03/2017 | 09/2020 |
| Owensboro, Kentucky | Owensboro | KY | 12/2013 | 05/2020 |
1. Mr. Goetz uses Retirement & Financial Strategies as the name of the business under which he provides investment advice through Private Advisor Group, LLC. This activity is at the address Mr. Goetz is registered at, and is related to his investment services practice. Mr. Goetz devotes about 160 hours per month to this activity, including about 140 hours during securities trading hours, concurrently with time Mr. Goetz devotes to activity providing investment services through PAG. 2. Mr. Goetz is a board member with the Owensboro Lions Club which is a charitable organization that offers charitable services to the community. Such activities are separate and apart from Private Advisor Group. 3. Mr. Goetz is the co-owner of Retirement and Financial Solutions LLC DBA Retirement and Financial Strategies through which he operates a financial services practice, but which is owned independently from Private Advisor Group, LLC. This activity is at the address where Mr. Goetz is registered, and is related to his investment services practice. Mr. Goetz devotes about 160 hours per month to this activity, including about 140 hours during securities trading hours, concurrently with time Mr. Goetz devotes to activity providing investment services through Private Advisor Group. 4. Mr. Goetz is the co-owner of Double EG LLC through which he operates a financial services practice, but which is owned independently from Private Advisor Group, LLC. This activity is at the address where Mr. Goetz is registered, and is related to his investment services practice. Mr. Goetz devotes about 160 hours per month to this activity, including about 140 hours during securities trading hours, concurrently with time Mr. Goetz devotes to activity providing investment services through Private Advisor Group.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-08-09 |
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