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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2025-09-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cao & Associates Llc | Seattle | WA | 10/2019 | Present |
| Paccar Inc. | Bellevue | WA | 08/2016 | 05/2020 |
| Avantax Advisory Services | Seattle | WA | 12/2021 | 09/2025 |
| Avantax Investment Services Inc. | Seattle | WA | 11/2022 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Seattle | WA | 02/2023 | 09/2025 |
| Cetera Wealth Services, Llc | Seattle | WA | 09/2025 | Present |
| Cetera Investment Advisors | Schaumburg | IL | 09/2025 | Present |
1)CAO& ASSOCIATES LLC POSITION: Governor NATURE: Provide tax planning, consulting, and filling for individual and small business in Seattle. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/21/2019 ADDRESS: 214 E Lynn St, Seattle WA 98102, United States DESCRIPTION: Consults with clients to develop a basic understanding of their financial affairs and the scope of their tax liabilities.Reviews previous tax returns and financial documents to identify missing or incomplete information or documentation.Reviews all supplied financial information for accuracy.Uses the appropriate accounting software or system to prepare tax returns.Calculates taxes owed or refunds due to client; consults tax law publications for guidance on unusual situations.Maintains understanding and knowledge of changes in tax law by reading professional literature or attending tax seminars and training courses.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-12-10 |
| S65 | Uniform Investment Adviser Law Examination | 2021-12-01 |
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