• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Karen Y Cao
Karen Yan Yun Cao, Karen Cao
CRD#: 6155313
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3701 BALBOA ST
SAN FRANCISCO, CA 94121
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2018 - Present (6 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - 2018 (5 years)
License(s)

State Registrations

B
Arizona 1/14/2020

B
Pennsylvania 1/11/2022

B
California 4/5/2018

B
Texas 1/14/2020

IA
California 10/1/2018

IA
Texas 1/17/2020

B
Florida 1/14/2020

B
Virginia 10/16/2020

B
Nevada 1/14/2020

B
Washington 1/14/2020

B
Oregon 1/14/2020

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3701 BALBOA ST, SAN FRANCISCO, CA 94121
2325 NORIEGA ST, SAN FRANCISCO, CA 94122
Registered with this firm since 10/1/2018

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3701 BALBOA ST, SAN FRANCISCO, CA 94121
2325 NORIEGA ST, SAN FRANCISCO, CA 94122
Registered with this firm since 4/5/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/02/2013 - 04/04/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.