Jane Y. Cao
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.
Jane Y. Cao, who also goes by Jane Yi Zeng Cao, was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 2011. Jane had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2022 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
March 11, 2022 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
February 19, 2021 - January 3, 2022
CETERA INVESTMENT ADVISERS LLC
February 19, 2021 - January 3, 2022
CETERA INVESTMENT SERVICES LLC
May 4, 2017 - March 19, 2019
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 19, 2019
J.P. MORGAN SECURITIES LLC
August 16, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
