James Goetz, financial advisor Santa Ana CA
90 score

James Goetz

CRD Number: 6055183
Current Firm: Golden State Wealth Management, LLC

James Goetz (CRD# 6055183) is an Investment Advisor Representative working at Golden State Wealth Management, LLC in Santa Ana, CA and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Golden State Wealth Management, LLC Irvine, CA Jun 2016 - Current < 1
Golden State Wealth Management, LLC South Coast Metro, CA Jun 2016 - Current < 1
Lpl Financial, LLC Lakeport, CA Feb 2015 - Current 1
Chapel Of The Lakes Lakeport, CA Apr 2007 - Current 9
J.p. Morgan Securities LLC Lakeport, CA Oct 2012 - Feb 2015 2
Jpmorgan Chase Bank Lakeport, CA Dec 2008 - Feb 2015 6
Chase Investment Services Corp Lakeport, CA Apr 2012 - Oct 2012 < 1
Unemployed Lakeport, CA Sep 2008 - Dec 2008 < 1
Frontier Imaging Compton, CA Dec 2007 - Sep 2008 < 1
Unemployed Lakeport, CA Sep 2007 - Dec 2007 < 1
Tsc Imaging Buffalo, NY May 2003 - Sep 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2012
S66 NASAA Uniform Combined State Law Examination Nov 2012
Contact Info for James D. Goetz
Phone Number: 855.273.1563
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    102
    MILLIONS
  • Total Number of Accounts
    211
    ACCOUNTS
  • Average Account Value
    $483,911
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, LA, WA

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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