Cara M. Daly
Professional summary
Cara Margaret Daly is a registered financial professional currently at BETTERMENT SECURITIES located in New York, New York.
Cara is registered as a RR (Registered Representative) and started their career in finance in 2018. Cara has worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cara Margaret Daly's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2021 - Present
BETTERMENT SECURITIES
Office #1: 450 West 33rd Street 11th Floor, New York, NY 10001September 28, 2018 - September 3, 2021
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/2/2023)
Exams
Series 52TO
Date: 10/22/2018
Municipal Securities Representative ExaminationFINRA
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
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