Shi Cao

SPEEDTRADER,

Katonah, NY 10536

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CRD#: 5021524

Professional summary

Shi Cao, who also goes by Rose Cao, is a registered financial professional currently at SPEEDTRADER, INC located in Katonah, New York.

Shi is registered as a RR (Registered Representative) and started their career in finance in 2014. Shi has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 34 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rose Cao

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) - BD

Click below to view Shi Cao's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 22, 2025 - Present

SPEEDTRADER, INC

Office #1: 2875 Rt 35 Ste 5c-2, Katonah, NY 10536

CRD#: 107403

Katonah, NY

Past

August 1, 2022 - June 25, 2025

US TIGER SECURITIES, INC.

CRD#: 120583

NEW YORK, NY

Past

December 7, 2021 - June 25, 2025

TRADEUP SECURITIES, INC.

CRD#: 18483

ROSELAND, NJ

Past

May 1, 2018 - November 29, 2021

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369

New York, NY

Past

February 24, 2015 - May 7, 2018

LIGHTSPEED TRADING, LLC

CRD#: 35519

NEW YORK, NY

Past

July 30, 2014 - January 23, 2015

LIME TRADING CORP

CRD#: 11826

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/22/2025)

Exams

State Security Law Exam

Series 63

Date: 5/30/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/2014

General Securities Representative Examination

General Industry/Product Exam

Series 34

Date: 10/3/2012

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 9/1/2012

National Commodity Futures Examination

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

Current Firm

SPEEDTRADER, INC

CRD#: 107403 / SEC#: , 8-53035

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

2875 Rt 35 Ste 5c-2, Katonah, NY 10536

Mailing Address

2875 Rt 35 Ste 5c-2, Katonah, NY 10536

Phone number

(845) 531-2487

Established

New York since 06/30/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MINT GLOBAL HOLDINGS, INC.	PARENT COMPANY
ELY, JOSEPH LEO	CEO	2936519
HALL, BRIAN DANIEL	FINOP	4174803
JORDON, MARK WILLIAM JR	CCO	5961342
RAINBEAU, DAVID	COO	2964016

Disclosures

Regulatory Event	21
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Shi Cao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shi Cao's CRS (Customer Relationship Summary).

Certified licenses

Experience

US TIGER SECURITIES, INC.

TRADEUP SECURITIES, INC.

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

LIGHTSPEED TRADING, LLC

LIME TRADING CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/2015

SIE

Date: 10/1/2018

Series 7

Date: 7/29/2014

Series 34

Date: 10/3/2012

Series 3

Date: 9/1/2012

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

NYSE Arca, Inc.

Current Firm

SPEEDTRADER, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SPEEDTRADER, INC

TRUST BUT VERIFY

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