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Li Cao
HOLLY CAO
CRD#: 6205248
IA
B
MORGAN STANLEYCRD#: 149777 One Fawcett Place
3Rd Floor
Greenwich, CT 06830
3Rd Floor
Greenwich, CT 06830
0
Disclosures
11
Years of Experience
View By:
State Registrations
B
California 7/26/2018
B
Massachusetts 4/6/2023
B
Connecticut 4/24/2017
B
New Jersey 5/6/2021
IA
Connecticut 6/26/2017
B
New York 12/10/2018
B
Delaware 1/4/2022
B
Pennsylvania 4/27/2023
B
Florida 8/19/2024
B
Washington 8/2/2018
B
Maryland 7/26/2018
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/26/2017
B
Registered with this firm since 4/24/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/18/2014 - 04/25/2017 | FLUSHING, NY | |
B | 08/19/2013 - 08/20/2014 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.