Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ana? Claim Your ProfileAna Le is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Ana has been in the industry since 2007 and has experience in various financial services firms including UnionBanc Investment Services, LLC and U.S. Bancorp Investments, Inc. Ana is licensed in multiple states and has several certifications and designations including the Series 7, Series 6, Series 63 and Series 65 licenses. Ana holds a specialization in Investment Consulting Services, Financial Planning, Pension Consulting, Selection of Other Advisors, and Portfolio Management for Businesses and Individuals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/09/2023 - Present
Wells Fargo Clearing Services, LLC (PALO ALTO CA)
MN
05/26/2023 - 10/19/2023
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
CA
08/06/2013 - 05/26/2023
UNIONBANC INVESTMENT SERVICES, LLC (SAN CARLOS CA)
CA
01/03/2011 - 07/24/2013
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
04/23/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
10/10/2007 - 05/11/2010
WELLS FARGO ADVISORS, LLC (SAN JOSE CA)
IA
Issued 09/14/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/12/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2009
Series 7 - General Securities Representative Examination
BC
Issued 10/09/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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