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KI

Kelli A. Isaacson

BETTERMENT SECURITIES
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 7523317
KI

Professional summary

Kelli Anna Isaacson, who also goes by Kelli Anna Cummings, is a registered financial professional currently at BETTERMENT SECURITIES located in New York, New York.

Kelli is registered as a RR (Registered Representative) and started their career in finance in 2022. Kelli has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelli Anna Cummings

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kelli Anna Isaacson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 29, 2022 - Present

BETTERMENT SECURITIES

Office #1: 450 West 33rd Street 11th Floor, New York, NY 10001
BD
CRD#: 47788
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 8/29/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/8/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BETTERMENT SECURITIES
BETTERMENT SECURITIES | PARK HILL CAPITAL, INC. | MTG, LLC

CRD#: 47788 / SEC#: , 8-51906

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
450 West 33rd Street 11th Floor, New York, NY 10001
Mailing Address
450 West 33rd Street 11th Floor, New York, NY 10001
Phone number
(212) 228-1328
Established
New York since 07/22/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BETTERMENT HOLDINGS, INC.PARENT COMPANY
FELDMAN, RICHARD MARKPRINCIPAL FINANCIAL OFFICER2273453
KHENTOV, BORISPRESIDENT6216649
KRAMER, ANDREW JOHNATHANPRINCIPAL OPERATIONS OFFICER6393302
ROSENBLOOM, SETH JOSEPHCHIEF LEGAL OFFICER6612490
WOLDOW, BRIAN JEFFREYCHIEF COMPLIANCE OFFICER2773616

Disclosures

Regulatory Event2

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.

Company Information

BETTERMENT SECURITIES

CRD#: 47788New York, NY 10001

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