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Cassidy J. Cao

INVESCO DISTRIBUTORS
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 7614190
CC

Professional summary

Cassidy Jie Cao is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in New York, New York.

Cassidy is registered as a RR (Registered Representative) and started their career in finance in 2022. Cassidy has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

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) - BD

Click below to view Cassidy Jie Cao's 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 25, 2026 - Present

INVESCO DISTRIBUTORS, INC.

Office #1: 225 Liberty St 11th Floor, New York, NY 10281
BD
CRD#: 7369
NEW YORK, NY
Past

December 2, 2022 - June 26, 2024

GALAXY DIGITAL PARTNERS LLC

BD
CRD#: 289605
New York, 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: 8/9/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/14/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/2/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/19/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.

CRD#: 7369 / SEC#: , 8-21323

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

Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.DIRECT OWNER
GREGSON, MARK WILLIAMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP2630230
HANCOCK, TRISHA BELLCHIEF COMPLIANCE OFFICER4373744
HARRIS, JERRY CLINTON IIDIRECTOR3275064
KRAMER, BRIAN KEITHDIRECTOR4132102
MCDONOUGH, JOHN CARLINPRESIDENT/CEO/DIRECTOR2363299
WISDOM, CRISSIE MCMENNAMYANTI-MONEY LAUNDERING COMPLIANCE OFFICER2793857

Disclosures

Regulatory Event3

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

INVESCO DISTRIBUTORS, INC.

CRD#: 7369New York, NY 10281

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