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Kaity May-bo Au

Jane Street Capital, LLC

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About Kaity May-bo Au

Kaity Au is a financial professional with over 10 years of experience in the industry. Kaity is currently registered with Jane Street Capital, LLC and Jane Street Execution Services, LLC. Kaity previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Kaity holds the Series 7, Series 57, Series 66 and SIE licenses. Kaity is registered in 10 states: California, Florida, Hawaii, Louisiana, New Jersey, New York, Ohio, Pennsylvania, Texas and Virginia.

Firm Information

Kaity Au is currently registered with Jane Street Capital, LLC. Jane Street Capital, LLC is a Limited Liability Company formed on August 31, 1999. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

60

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kaity Au’s Registration & Firm History

NY

09/29/2016 - Present

Jane Street Capital, LLC (NEW YORK NY)

NY

08/02/2010 - 09/30/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/15/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/23/2016

Series 57 - Securities Trader Exam

BC

Issued 07/31/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kaity May-bo Au.
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