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James Goetz

Charles Schwab & Co., Inc.

Stamford, CT

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-04-20
  • CT RA
    APPROVED
    Since 2026-04-20

Branch Locations

300 Atlantic St. Suite 130, Stamford, CT 06901-3514 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Stamford CT 07/2025 Present
Stew Leonards Norwalk CT 06/2025 07/2025
Greene Turtle College Park MD 10/2024 01/2025
Morgan Stanley Westport CT 06/2024 08/2024
Stew Leonards Norwalk CT 05/2024 08/2024
Taproot Resturant Norwalk CT 05/2023 08/2023
On The Fly Food Ridgefield CT 05/2022 08/2022
Westport/Weston Ymca Westport CT 06/2021 08/2021
Unemployed Weston CT 08/2015 06/2021
Unemployed College Park MD 09/2021 04/2022
Unemployed College Park MD 09/2022 04/2023
Unemployed College Park MD 09/2023 04/2024
Unemployed Fairfield CT 02/2025 05/2025
Charles Schwab Bank Stamford CT 07/2025 Present
  • 07/2025 → Present
    Charles Schwab & Co., Inc.
    Stamford, CT
  • 06/2025 → 07/2025
    Stew Leonards
    Norwalk, CT
  • 10/2024 → 01/2025
    Greene Turtle
    College Park, MD
  • 06/2024 → 08/2024
    Morgan Stanley
    Westport, CT
  • 05/2024 → 08/2024
    Stew Leonards
    Norwalk, CT
  • 05/2023 → 08/2023
    Taproot Resturant
    Norwalk, CT
  • 05/2022 → 08/2022
    On The Fly Food
    Ridgefield, CT
  • 06/2021 → 08/2021
    Westport/Weston Ymca
    Westport, CT
  • 08/2015 → 06/2021
    Unemployed
    Weston, CT
  • 09/2021 → 04/2022
    Unemployed
    College Park, MD
  • 09/2022 → 04/2023
    Unemployed
    College Park, MD
  • 09/2023 → 04/2024
    Unemployed
    College Park, MD
  • 02/2025 → 05/2025
    Unemployed
    Fairfield, CT
  • 07/2025 → Present
    Charles Schwab Bank
    Stamford, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-04-20
  • S66 Uniform Combined State Law Examination
    2026-04-20
Other Names
  • James M Goetz

View on SEC IAPD

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COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
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DWM ASSET MANAGEMENT, LLC · STAMFORD, CT
O'SHAUGHNESSY ASSET MANAGEMENT, LLC · STAMFORD, CT
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