Adele J. Goetz

FAIRPORT ASSET MANAGEMENT CORP

Fairfield, CT 06825

Some features on this profile are disabled

CRD#: 4487546

Professional summary

Adele Joy Goetz is a registered financial advisor currently at FAIRPORT ASSET MANAGEMENT CORP located in Fairfield, Connecticut.

Adele is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Adele has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adele Joy 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

May 15, 2017 - Present

FAIRPORT ASSET MANAGEMENT CORP

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

RIA

CRD#: 108414

Fairfield, CT

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/15/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/15/2017

Uniform Investment Adviser Law Examination

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

Matthew Day

RBC CAPITAL MARKETS, LLC

IAR

STAMFORD, CT

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Adele J. Goetz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adele Joy Goetz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAIRPORT ASSET MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/15/2017

Current Firm

FAIRPORT ASSET MANAGEMENT CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FAIRPORT ASSET MANAGEMENT CORP

TRUST BUT VERIFY

Similar Advisors