Roger W. Goetz

FAIRPORT ASSET MANAGEMENT CORP

FAIRFIELD, CT 06825

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CRD#: 1063460

Professional summary

Roger William Goetz is a registered financial advisor currently at FAIRPORT ASSET MANAGEMENT CORP located in Fairfield, Connecticut and FAIRPORT CAPITAL, INC. located in Fairfield, Connecticut.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Roger has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 26 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

AGENT FOR LIFE, HEALTH, AND LONG-TERM CARE INSURANCE AND VARIABLE ANNUITIES. PRESIDENT OF FAIRPORT FINANCIAL LLC 2010-PRESENT. FAIRPORT ASSSTMENT MGMT. A REGISTERED INVESTMENT ADVISOR. INVESTMENT RELATED. 30 HOURS/WEEK.1515 BLACKROCK TPKE, SUITE 102, FAIRFIELD, CT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger William Goetz's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 14, 1988 - Present

FAIRPORT ASSET MANAGEMENT CORP

Office #1: 1515 Black Rock Turnpike Suite 102, Fairfield, CT 06825

RIA

CRD#: 108414

FAIRFIELD, CT

Current

April 1, 1997 - Present

FAIRPORT CAPITAL, INC.

Office #1: 1515 Black Rock Turnpike Suite 102, Fairfield, CT 06825

CRD#: 15034

Fairfield, CT

Past

September 7, 1984 - April 12, 1995

FAIRPORT CAPITAL, INC.

CRD#: 15034

SCOTTSDALE, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Connecticut
(6/14/1988)

Connecticut
(8/28/1997)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/13/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/21/1985

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 6/8/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/17/1985

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 39

Date: 7/2/1984

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

FAIRPORT ASSET MANAGEMENT CORP

FAIRPORT ASSET MANAGEMENT CORP | SENIORS FINANCIAL | FAIRPORT SENIOR FINANCIAL AND REAL ESTATE SERVICES | FAIRPORT FINANCIAL, LLC | FAIRPORT COMPANIES

CRD#: 108414 / SEC#: 801-32073

RIA

Registered Investment Advisory firm - (2/6/2001 Terminated)

Connecticut

Registered Investment Advisory firm - (9/19/2000 Approved)

New Jersey

Registered Investment Advisory firm - (5/31/2019 Terminated)

New York

Registered Investment Advisory firm - (6/6/1990 Approved)

Texas

Registered Investment Advisory firm - (12/31/2005 Terminated)

Virginia

Registered Investment Advisory firm - (8/8/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1515 Black Rock Turnpike Suite 102, Fairfield, CT 06825

Mailing Address

Phone number

(203) 335-0344

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 12,183,553

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Roger W. Goetz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger William Goetz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAIRPORT CAPITAL, INC.

FAIRPORT CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/1991

Series 63

Date: 7/2/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/10/1990

Series 6

Date: 5/21/1985

Series 22

Date: 6/8/1984

Series 26

Date: 6/17/1985

Series 39

Date: 7/2/1984

FINRA

Current Firm

FAIRPORT ASSET MANAGEMENT CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FAIRPORT ASSET MANAGEMENT CORP

TRUST BUT VERIFY

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