Joseph Thomas Goertz
Professional Summary
Joseph Thomas Goertz is a registered financial advisor currently at WILLIAMS TRADING LLC located in Westport, Connecticut. Joseph is registered as a RR (Registered Representative) and started their career in finance in 2009. Joseph has worked at 1 firm and has passed the Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
WILLIAMS TRADING LLC
Contact Information
Main Address
450 Post Road East Suite 120, Westport, CT 06880Mailing Address
450 Post Road East Suite 120, Westport, CT 06880Phone Number
(203) 353-7600Established
Connecticut since 12/31/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (31 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, DAVID BREWSTER | MANAGING MEMBER/GENERAL SECURITIES PRINCIPAL | 1715713 |
| GOERTZ, JOSEPH THOMAS | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 5607738 |
| MARCIANO, LANCE DANIEL | CHIEF OPERATING OFFICER | 2261020 |
| MOONEY, MATTHEW BRIAN | REGISTERED OPTIONS PRINCIPAL | 3100953 |
| MOROVATI, BABAK BOBBY | CFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO | 5650049 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 2009About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Thomas Goertz's CRS (Customer Relationship Summary).
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