Jon Stein, CFA®
New York, New York, 10013
My Location
Background Information
Years of Financial Experience
- 8
Education
- Harvard University (BA, Economics)
- Columbia University (MBA)
Certifications and Designations
- CFA®
Methods of Compensation
- Financial Planning: Asset-based fee
- Investment Services: Asset-based fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Betterment Securities
Types of Financial Reports
- Performance Report (Quarterly)
- Market Environment Report (Quarterly)
- Custodial Report (Quarterly)
- Newsletter (Monthly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them quarterly
- I review my clients' investment portfolios with them quarterly
Registration & Licensing
- CRD/IARD Number: 5653842
- Securities Registrations: Series 63, Series 7, Series 24
- Insurance Licenses: None
Company Names
- Registered Investment Advisor: Betterment LLC
- Broker/Dealer: Betterment Securities
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Registered or licensed to provide financial advice, services, and products
- All 50 States
Disclosure(s)
- View StatementBetterment LLC is an SEC Registered Investment Advisor. Brokerage services offered by Betterment Securities, an SEC registered broker-dealer and member FINRA/SIPC. Investments: Not FDIC Insured • No Bank Guarantee • May Lose Value Investing in securities involves risks, and there is always the potential of losing money when you invest in securities. Before investing, consider your investment objectives and Betterment\'s charges and expenses. Past performance does not guarantee future results, and the likelihood of investment outcomes are hypothetical in nature. See full disclosures for more information. Not an offer, solicitation of an offer, or advice to buy or sell securities in jurisdictions where Betterment and Betterment Securities are not registered.
- View Statement
Planning Services
- Financial Planning, Retirement
Investment Services
- Strategy Development, Asset allocation, Performance Reporting
Investment Products
- Securities, Exchange Traded Funds
Visit Website - http://www.betterment.com
Jon Stein
on LinkedIn
Jon Stein
on Twitter
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@trek1965 Thank you!
@jgmoore Thanks!
RT @themelissard: @MadysonDesigns likewise was great meeting you and the rest of the @Betterment team! Love the people behind the product.
@iamctodd Thanks so much! Hope the G.A event went well