William H. Goettert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Howard Goettert, who also goes by Bill Goettert, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2019 - November 11, 2021
SKY ALPHA ASSET ADVISORS
August 14, 2015 - June 6, 2018
MORGAN STANLEY
August 14, 2015 - June 6, 2018
MORGAN STANLEY
August 30, 2010 - September 8, 2015
CITIGROUP GLOBAL MARKETS INC.
August 24, 2010 - September 8, 2015
CITIGROUP GLOBAL MARKETS INC.
March 28, 2000 - August 24, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2000 - August 24, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 1994 - April 6, 2000
CITICORP INVESTMENT SERVICES
July 12, 1993 - October 3, 1994
FIS SECURITIES, INC.
September 14, 1989 - November 30, 1990
TAI SECURITIES CORP.
December 12, 1986 - December 6, 1988
TURCAN FINANCIAL GROUP, INC.
January 21, 1986 - October 17, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SKY ALPHA ASSET ADVISORS
CRD#: 295839 / SEC#: 801-113000
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
SKY ALPHA ASSET ADVISORS
CRD#: 295839 / SEC#: 801-113000
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 302 |
| AUM (Assets Under Management) | $ 208,000,000 |
Red Flags
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