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Lucia Emilia Mihalek

Betterment

New York, NY

CRD 8012035

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Employer firm

Betterment CRD 149117

$69.5B regulatory AUM 246 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Betterment

450 West 33Rd Street Floor 11, New York, NY 10001 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-03
NY RA APPROVED 2025-01-03
TX RA APPROVED 2025-01-03
  • CA RA
    APPROVED
    Since 2025-01-03
  • NY RA
    APPROVED
    Since 2025-01-03
  • TX RA
    APPROVED
    Since 2025-01-03

Branch Locations

450 West 33Rd Street Floor 11, New York, NY 10001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Betterment New York NY 12/2018 Present
L'OReal Usa New York NY 03/2015 12/2018
  • 12/2018 → Present
    Betterment
    New York, NY
  • 03/2015 → 12/2018
    L'OReal Usa
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-01-03
  • S65 Uniform Investment Adviser Law Examination
    2025-01-03

View on SEC IAPD

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