Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sara? Claim Your ProfileSara Rosalyn Cao is a financial professional with experience in the securities industry. Sara is currently registered with TPG Capital BD, LLC in San Francisco, California. Sara holds a Series 7, Series 79 and Series 63 license. Previously, Sara was employed by Credit Suisse Securities (USA) LLC in New York, NY.
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.
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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CA
06/05/2018 - Present
TPG Capital BD, LLC (SAN FRANCISCO CA)
NY
08/15/2017 - 05/16/2018
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 09/28/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/04/2018
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2017
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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