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YC

Ying Cao

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CRD#: 4436190
YC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ying Cao was a registered financial professional .

Ying is a previously registered financial professional and started their career in finance in 2001. Ying had worked at 8 firms and has passed the Series 63, Series 3, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 23, 2012 - March 27, 2014

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

December 22, 2008 - October 26, 2010

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

June 15, 2007 - September 11, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 22, 2006 - March 1, 2007

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

June 14, 2005 - July 5, 2005

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

May 29, 2003 - July 2, 2003

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

March 3, 2003 - March 26, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

October 29, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

April 26, 2002 - October 31, 2002

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

August 8, 2001 - April 29, 2002

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/11/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 8/16/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/7/2001
General Securities Representative Examination

Current Firm

XF
X-CHANGE FINANCIAL ACCESS, LLC
X-CHANGE FINANCIAL ACCESS, LLC

CRD#: 126201 / SEC#: , 8-65860

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 W Adams Street Suite 450, Chicago, IL 60606
Mailing Address
222 W Adams Street Suite 450, Chicago, IL 60606
Phone number
(312) 235-0320
Established
Illinois since 04/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAREX NORTH AMERICA HOLDINGS INCDIRECT PARENT
BATES, CHRISTOPHERCFO/FINOP5648556
GEYE, ANDREW JCEO-SECURITIES DIVISION6323003
KROPKE, PAUL STEVENCHIEF COMPLIANCE OFFICER2572796
MEOLA, ANGELOPRINCIPAL OPERATIONS OFFICER4218349

Disclosures

Regulatory Event32

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

X-CHANGE FINANCIAL ACCESS, LLC

CRD#: 126201

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