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CC

Christine Cao

LEGACY PRIVATE CLIENT SERVICES
POINTE-CLAIRE. QC, H9R 5N3
Some features on this profile are disabled
CRD#: 6754682
CC

Professional summary

Christine Cao, who also goes by Christine Nguyen-cao, is a registered financial advisor currently at LEGACY PRIVATE CLIENT SERVICES .

Christine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Christine has worked at 2 firms .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Christine Nguyen-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.
Portfolio Manager and Chief Compliance Officer at ROSEN GROUP PRIVATE WEALTH MANAGEMENT LTD. This entity is a related entity to the US entity and manages client investments on Canadian residents.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christine 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

February 17, 2025 - Present

LEGACY PRIVATE CLIENT SERVICES

Office #1: 1 Holiday Avenue, East Tower Suite 305, Pointe-claire. Qc, H9R 5N3
RIA
CRD#: 331736
POINTE-CLAIRE. QC,
Past

February 17, 2017 - February 1, 2022

RAYMOND JAMES (USA) LTD.

RIA
CRD#: 25853
Pointe Claire, Quebec,

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LP
LEGACY PRIVATE CLIENT SERVICES
LEGACY PRIVATE CLIENT SERVICES | ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC | LEGACYMED ADVISORS

CRD#: 331736 / SEC#: 801-130906

RIA
Registered Investment Advisory firm - (8/13/2024 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Florida
(2/17/2025)

Exams

Current Firm

LP
LEGACY PRIVATE CLIENT SERVICES
LEGACY PRIVATE CLIENT SERVICES | ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC | LEGACYMED ADVISORS

CRD#: 331736 / SEC#: 801-130906

RIA
Registered Investment Advisory firm - (8/13/2024 Approved)
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Contact information

Main Address
1 Holiday Avenue, East Tower Suite 305, Pointe-claire. Qc, H9R 5N3
Mailing Address
Phone number
(514) 782-5966
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (1 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC (10/8/2025)
0

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

LEGACY PRIVATE CLIENT SERVICES

CRD#: 331736Pointe-claire. Qc, H9R 5N3

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