Jan M. Yabs
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.
Jan Michael Yabs, CFP®, ChFC® was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 2006. Jan had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2021 - March 2, 2022
BETTERMENT
January 9, 2015 - May 20, 2016
OSAIC SERVICES, INC.
December 16, 2014 - May 20, 2016
OSAIC SERVICES, INC.
March 18, 2014 - December 19, 2014
MCKINLEY CARTER WEALTH SERVICES, INC.
January 31, 2013 - February 7, 2014
LPL FINANCIAL LLC
December 14, 2012 - February 7, 2014
LPL FINANCIAL LLC
October 1, 2012 - December 14, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 14, 2012
J.P. MORGAN SECURITIES LLC
February 16, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 27, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 13, 2009 - January 4, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - January 4, 2010
PNC WEALTH MANAGEMENT LLC
May 2, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 2, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
February 8, 2008 - April 16, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
December 1, 2006 - April 16, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
BETTERMENT
CRD#: 149117 / SEC#: 801-70171
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BETTERMENT
CRD#: 149117 / SEC#: 801-70171
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,200,673 |
| AUM (Assets Under Management) | $ 56,368,684,129 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2025 | ||
| 10/18/2024 | ||
| 12/08/2023 | ||
| 04/26/2023 | ||
| 01/06/2023 |
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.
