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Bao Q Le

Charles Schwab & CO., Inc.

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About Bao Q Le

Bao Q Le is a financial advisor with over 25 years of experience in the financial services industry. Bao has a Series 7, Series 63, and Series 66 license and is currently registered with Charles Schwab & Co., Inc. in Texas. Bao has previously worked for TD Ameritrade, Inc., E*TRADE SECURITIES LLC, and MBSC Securities Corporation. Bao specializes in providing financial planning, portfolio management, and wrap fee program services.

Firm Information

Bao Le is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Bao Le’s Registration & Firm History

TX

01/26/2022 - Present

Charles Schwab & CO., Inc. (Frisco TX)

TX

05/11/2021 - 07/29/2024

TD AMERITRADE, INC. (Frisco TX)

TX

01/14/2021 - 05/07/2021

E*TRADE SECURITIES LLC (Dallas TX)

TX

11/20/2019 - 01/11/2021

TD AMERITRADE, INC. (FRISCO TX)

TX

06/02/2014 - 12/04/2017

TD AMERITRADE, INC. (FORT WORTH TX)

NY

03/18/1998 - 04/08/2014

MBSC SECURITIES CORPORATION (NEW YORK NY)

NY

05/23/1997 - 02/04/1998

TASIN & COMPANY, INC. (HAUPPAUGE NY)

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Licenses & Designations

BOTH

Issued 10/20/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/11/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/04/2017

SIE - Securities Industry Essentials Examination

BC

Issued 05/22/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Bao Q Le.
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