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Tran Gia Bao Cao

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2022-11-16
TX RA APPROVED 2022-11-15
  • WA RA
    APPROVED
    Since 2022-11-16
  • TX RA
    APPROVED
    Since 2022-11-15

Branch Locations

401 Union St, Seattle, WA 98101 • United States

One Bryant Park, New York, NY 10036 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 04/2020 Present
St Norbert College De Pere WI 12/2014 05/2018
J Crew Lynnwood WA 09/2018 01/2019
Ann Taylor Inc Lynnwood WA 01/2019 04/2020
St Norbert College De Pere WI 08/2014 05/2018
Unemployed Lynnwood WA 05/2018 09/2018
Follett Corporation/St. Norbert College Campus De Pere WI 12/2014 05/2018
American Eagle Outfitters Inc. Lynwood WA 11/2018 02/2019
  • 04/2020 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Seattle, WA
  • 12/2014 → 05/2018
    St Norbert College
    De Pere, WI
  • 09/2018 → 01/2019
    J Crew
    Lynnwood, WA
  • 01/2019 → 04/2020
    Ann Taylor Inc
    Lynnwood, WA
  • 08/2014 → 05/2018
    St Norbert College
    De Pere, WI
  • 05/2018 → 09/2018
    Unemployed
    Lynnwood, WA
  • 12/2014 → 05/2018
    Follett Corporation/St. Norbert College Campus
    De Pere, WI
  • 11/2018 → 02/2019
    American Eagle Outfitters Inc.
    Lynwood, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-28
  • S66 Uniform Combined State Law Examination
    2022-10-28
Other Names
  • Gia Bao Tran Cao
  • June Cao
  • Tran Gia Bao Cao

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
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