Xiaoqing Cao
Professional summary
Xiaoqing Cao, who also goes by Cathy Cao, is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in New York, New York.
Xiaoqing is registered as a RR (Registered Representative) and started their career in finance in 2007. Xiaoqing has worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Xiaoqing Cao's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2018 - Present
JOSEPH STONE CAPITAL L.L.C.
Office #1: 29 Broadway Suite 1800, New York, NY 10006May 17, 2018 - May 24, 2018
JOSEPH STONE CAPITAL L.L.C.
February 28, 2018 - May 14, 2018
WINDSOR STREET CAPITAL, LP
February 2, 2017 - March 4, 2018
UNIVEST SECURITIES, LLC
July 2, 2015 - December 15, 2015
HB SECURITIES, LLC
September 16, 2013 - July 29, 2015
NMS CAPITAL SECURITIES, LLC
October 7, 2011 - August 22, 2012
ROCKWELL GLOBAL CAPITAL LLC
May 4, 2010 - July 29, 2010
RODMAN & RENSHAW, LLC
September 15, 2008 - August 25, 2009
KNIGHT LIBERTAS LLC
September 5, 2007 - September 24, 2008
GROTON SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/6/2018)
(1/23/2019)
(5/31/2018)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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