Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shan? Claim Your ProfileShan Cao is a financial professional with over 10 years of experience in the industry. Shan is currently registered with Stifel, Nicolaus & Company, Inc. in the Century City area of Los Angeles, California. Shan is a Series 7, Series 52, and Series 50 licensed representative and is qualified to offer a wide range of investment products and services. Prior to joining Stifel, Nicolaus & Company, Inc., Shan was with Terminus Securities, LLC in Atlanta, Georgia. Shan holds a Series 63 license and has the Securities Industry Essentials Examination (SIE) certification. Shan specializes in investments for individuals, businesses, pooled investment vehicles, and charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/03/2015 - Present
Stifel, Nicolaus & Company, Inc. (LOS ANGELES CA)
GA
01/10/2012 - 02/18/2014
TERMINUS SECURITIES, LLC (ATLANTA GA)
BC
Issued 03/02/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 12/09/2015
Series 52 - Municipal Securities Representative Examination
BC
Issued 01/09/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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