Tran
Cao
Merrill Lynch, Pierce, Fenner & Smith Inc
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About this Advisor
Tran Cao is a financial advisor who works out of Seattle, Washington with 1 year of relevant experience. Cao is on the advisory team at Merrill Lynch, Pierce, Fenner & Smith Inc. Cao has gained experience at Merrill Lynch, Pierce, Fenner & Smith Inc, St Norbert College, J Crew, Ann Taylor Inc, Follett Corporation/St. Norbert College Campus and American Eagle Outfitters Inc. Cao has a Series 66 license, certifying them as both a securities agent and an investment advisor representative, and is registered to advise clients in Texas and Washington. Merrill Lynch, Pierce, Fenner & Smith Inc is an advisory business based out of New York, NY. The investment advisory business has offices in 3,372 locations and a total of 36,687 advisors. It handles $1 trillion in assets between its 2,864,234 customer accounts, placing it among the biggest financial advisory firms in the nation by assets under management. The firm serves 4,459 charities and foundations. Of its 2,864,234 client accounts, 23% belong to high-net-worth clients who have at least $1 million in investable assets. The business performs a number of services, including portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. Financial management fees vary depending on the financial services provided. Fee types billed by Merrill Lynch, Pierce, Fenner & Smith Inc likely consist of asset-based, fixed and commission-based fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/assets@2x.png)
$1,093,689,238,206
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/employees@2x.png)
36,687
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2,864,234
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$381,844
Investment Advisory Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
- Other
Tran Cao Work History
Tran has been registered as a financial advisor for 1 years.*
Merrill Lynch, Pierce, Fenner & Smith Inc
Ann Taylor Inc
J Crew
American Eagle Outfitters Inc
St Norbert College
St Norbert College
Follett Corporation/St. Norbert College Campus
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Tran Cao to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Merrill Lynch, Pierce, Fenner & Smith Inc
Scottsdale, AZ
New York, NY
Middletown, NY
Summit, NJ
Temecula, CA
Houston, TX
Los Angeles, CA
Jacksonville, FL
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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