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Christine Cao

Legacy Private Client Services

Pointe-Claire. Qc

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Current Employers
Legacy Private Client Services

1 Holiday Avenue, East Tower Suite 305, Pointe-Claire. Qc H9R 5N3 • Canada

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-02-17
  • FL RA
    APPROVED
    Since 2025-02-17

Branch Locations

1 Holiday Avenue, East Tower Suite 305, Pointe-Claire. Qc H9R 5N3 • Canada

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
Raymond James Ltd. Montreal 02/2016 02/2022
Raymond James (Usa) Ltd. Montreal 02/2017 02/2022
Rosen Group Private Wealth Management Ltd. Montreal 02/2022 Present
Rosen Group Private Wealth Management, Llc Pointe-Claire 12/2024 Present
  • 02/2016 → 02/2022
    Raymond James Ltd.
    Montreal
  • 02/2017 → 02/2022
    Raymond James (Usa) Ltd.
    Montreal
  • 02/2022 → Present
    Rosen Group Private Wealth Management Ltd.
    Montreal
  • 12/2024 → Present
    Rosen Group Private Wealth Management, Llc
    Pointe-Claire
Previous Registrations
Other Businesses

Portfolio Manager and Chief Compliance Officer at ROSEN GROUP PRIVATE WEALTH MANAGEMENT LTD. This entity is a related entity to the US entity and manages client investments on Canadian residents.

Designations
Other Names
  • Christine Nguyen-Cao

View on SEC IAPD

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