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Xiaoqing Cao

Joseph Stone Capital LLC

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About Xiaoqing Cao

Xiaoqing Cao is a financial professional with over a decade of experience in the industry. Xiaoqing has a broad range of experience, having worked at firms such as Joseph Stone Capital LLC, Windsor Street Capital, LP, and Univest Securities, LLC. Xiaoqing is currently registered with Joseph Stone Capital LLC in New York, New Jersey, and California. Xiaoqing holds the Series 7, Series 63, and Series 79TO licenses, as well as the SIE exam.

Firm Information

Xiaoqing Cao is currently registered with Joseph Stone Capital LLC. Joseph Stone Capital LLC is a Limited Liability Company formed in 2011. The firm is registered to provide advisory services in all 50 U.S. states and Puerto Rico, as well as with the SEC. Joseph Stone Capital LLC has been the subject of 4 regulatory events and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

21

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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Xiaoqing Cao’s Registration & Firm History

NY

05/31/2018 - Present

Joseph Stone Capital LLC (NEW YORK NY)

NY

05/17/2018 - 05/24/2018

JOSEPH STONE CAPITAL L.L.C. (NEW YORK NY)

NY

02/28/2018 - 05/14/2018

WINDSOR STREET CAPITAL, LP (NEW YORK NY)

NY

02/02/2017 - 03/04/2018

UNIVEST SECURITIES, LLC (NEW YORK NY)

NY

07/02/2015 - 12/15/2015

NMS CAPITAL ADVISORS, LLC. (New York NY)

NY

09/16/2013 - 07/29/2015

NMS CAPITAL SECURITIES, LLC (NEW YORK NY)

NY

10/07/2011 - 08/22/2012

ROCKWELL GLOBAL CAPITAL LLC (NEW YORK NY)

NY

05/04/2010 - 07/29/2010

RODMAN & RENSHAW, LLC (NEW YORK NY)

CT

09/15/2008 - 08/25/2009

KNIGHT LIBERTAS LLC (GREENWICH CT)

NY

09/05/2007 - 09/24/2008

GROTON SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/12/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/04/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Xiaoqing Cao.
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