John Cao (CRD# 7222205) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Altadena, CA and has over 2 years of experience in the finance industry.
CRD# 2962660
Grove Point Advisors, LLC
CRD# 5781614
Awm Capital, LLC
CRD# 6406556
Aqua Capital Advisors
Company Name | Location | Dates | Years |
---|---|---|---|
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Altadena, CA | Nov 2022 - Current | 1 |
Bank Of America N.a. | Altadena, CA | Nov 2022 - Current | 1 |
Mwa Financial Services Inc. | Rock Island, IL | Jun 2021 - Nov 2022 | 1 |
Modern Woodmen Of America | Rock Island, IL | Mar 2021 - Nov 2022 | 1 |
Unemployed | Temple City, CA | Oct 2020 - Mar 2021 | < 1 |
Equitable Advisors, LLC | New York, NY | Feb 2020 - Oct 2020 | < 1 |
Axa Advisors LLC | Los Angeles, CA | Feb 2020 - Jun 2020 | < 1 |
Unemployment | Temple City, CA | May 2019 - Feb 2020 | < 1 |
Jp Morgan Chase | Monterey Park, CA | Jan 2017 - May 2019 | 2 |
University Of California Santa Cruz | Santa Cruz, CA | Sep 2017 - Mar 2019 | 1 |
Pasadena City College | Pasadena, CA | Jun 2011 - Sep 2017 | 6 |
Tengoku Ramen Bar | Arcadia, CA | Aug 2016 - Feb 2017 | < 1 |
Linus Chong Dds Ms | San Marino, CA | Jul 2016 - Jan 2017 | < 1 |
Temple City Education Center | Temple City, CA | Oct 2015 - Apr 2016 | < 1 |
Gold N' Time | Puente Hills, CA | Aug 2015 - Sep 2015 | < 1 |
Macy's | Arcadia, CA | Nov 2014 - Mar 2015 | < 1 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Oct 2021 |
S65 | NASAA Investment Advisors Law Examination | Jan 2023 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
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- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
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