Alberto Franco
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.
Alberto Franco, who also goes by Alberto Franco Jr., Alberto Franco, was a registered financial professional .
Alberto is a previously registered financial professional and started their career in finance in 2015. Alberto had worked at 2 firms and has passed the Series 66, 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
December 23, 2021 - April 22, 2025
BETTERMENT SECURITIES
August 19, 2021 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2021 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2017 - March 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2015 - March 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 SECURITIES
CRD#: 47788 / SEC#: , 8-51906
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BETTERMENT HOLDINGS, INC. | PARENT COMPANY | |
| FELDMAN, RICHARD MARK | PRINCIPAL FINANCIAL OFFICER | 2273453 |
| KHENTOV, BORIS | PRESIDENT | 6216649 |
| KRAMER, ANDREW JOHNATHAN | PRINCIPAL OPERATIONS OFFICER | 6393302 |
| ROSENBLOOM, SETH JOSEPH | CHIEF LEGAL OFFICER | 6612490 |
| WOLDOW, BRIAN JEFFREY | CHIEF COMPLIANCE OFFICER | 2773616 |
Disclosures
| Regulatory Event | 2 |
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.
