Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xuan? Claim Your ProfileXuan Cao is a registered investment advisor with HSBC Securities (USA) Inc. based in Cupertino, CA. Xuan has been in the industry since November 2010. Prior to joining HSBC Securities (USA) Inc., Xuan worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated in San Jose, CA. Xuan holds the Series 66, Series 7 and SIE licenses. Xuan has experience in various investment strategies, including asset allocation and portfolio management. Xuan has access to a wide range of investment products and services through HSBC Securities (USA) Inc., including stocks, bonds, mutual funds, and exchange-traded funds.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
05/01/2013 - Present
Hsbc Securities (usa) Inc. (CUPERTINO CA)
CA
11/23/2010 - 04/23/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
BOTH
Issued 10/11/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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