John J. Betterman

BETTERMAN DIGITAL WEALTH

San Jose, CA

Some features on this profile are disabled

CRD#: 1684532

Professional summary

John Joseph Betterman is a registered financial advisor currently at BETTERMAN DIGITAL WEALTH, INC. located in San Jose, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. John has worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 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.

the name of the other business: Insurance Sales; whether the business is investment-related: No; the address of the other business: same as adviser; the nature of the other business: life and health insurance sales; your position: licensed agent; title, or relationship with the other business: licensed insurance agent; the start date of your relationship: Sep. 2023; the approximate number of hours/month you devote to the other business: varies; the number of hours you devote to the other business during securities trading hours: varies; and briefly describe your duties relating to the other business: life and health insurance sales;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Betterman's CRS (Customer Relationship Summary).

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

July 31, 1993 - June 8, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 21, 1987 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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

California
(4/9/2018)

IAR

Illinois
(7/14/2021)

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: 4/6/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/14/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Current Firm

BETTERMAN DIGITAL WEALTH, INC.

BETTERMAN DIGITAL WEALTH, INC. | MADISON FAMILY ADVISORS, INC.

CRD#: 158755 / SEC#: 801-72967

RIA

Registered Investment Advisory firm - (6/13/2018 Terminated)

California

Registered Investment Advisory firm - (5/18/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/14/2021 Approved)

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

San Jose, CA

Mailing Address

Phone number

(847) 440-1639

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	104
AUM (Assets Under Management)	$ 85,679,609

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John J. Betterman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Betterman's CRS (Customer Relationship Summary).

Certified licenses

Experience

BETTERMAN DIGITAL WEALTH, INC.

OAK FAMILY ADVISORS, LLC

OAK FAMILY ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/2018

Series 63

Date: 7/24/1987

Series 3

Date: 8/14/1987

Series 7

Date: 7/18/1987

Current Firm

BETTERMAN DIGITAL WEALTH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BETTERMAN DIGITAL WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors