Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Trung Le is a registered representative with UBS Financial Services Inc., and has been in the industry since August 9, 2000. Andrew is licensed to conduct business in multiple states, including California, Texas, and others. Previously, Andrew was affiliated with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Andrew is also a registered investment advisor and has been active in this capacity since December 1, 2008. Andrew has experience in a variety of investment areas and holds licenses to conduct business in both securities and investment advisory capacities.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
CA
04/02/2019 - Present
UBS Financial Services Inc. (Palo Alto CA)
CA
04/02/2007 - 12/01/2008
MORGAN STANLEY & CO. INCORPORATED (PALO ALTO CA)
CA
08/10/2000 - 04/02/2007
MORGAN STANLEY DW INC. (PALO ALTO CA)
BOTH
Issued 08/10/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 08/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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