Chadwick G. Doan
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.
Chadwick Gia Doan, who also goes by Tao Chadwick Doan, was a registered financial professional .
Chadwick is a previously registered financial professional and started their career in finance in 2022. Chadwick had worked at 1 firm and has passed the SIE and Series 99TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2022 - November 9, 2022
BETTERMENT SECURITIES
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
Series 99TO
Date: 2/11/2022
Operations Professional ExaminationCurrent 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.
