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Carol Le

SVB Wealth

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About Carol Le

Carol Le is a registered representative at SVB Wealth with over 7 years of experience in the financial industry. Carol is registered with the state of California and Arizona, and holds Series 7, 66, and SIE licenses. Carol has a background in providing wealth management advise and specializes in areas such as estate planning, financial planning, and portfolio management for individuals and businesses. Carol's previous experience includes roles at SVB Investment Services Inc. and Silicon Valley Bank.

Firm Information

Carol Le is currently registered with SVB Wealth. SVB Wealth, based in Boston, MA, provides a range of wealth management services to individuals, businesses, and institutions. They offer financial planning, portfolio management, planned giving, family office services, and educational seminars. The firm has a strong focus on serving high-net-worth individuals and corporations, managing over $6.6 billion in assets for a diverse clientele.
SVB Wealth

53 STATE STREET

BOSTON, MA 02109

$6.63B

Assets Under Management

35

Total Clients

89

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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planned giving, family office, wealth planning

Planned giving, family office, wealth planning

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Carol Le’s Registration & Firm History

CA

06/29/2022 - Present

SVB Wealth (Menlo Park CA)

CA

02/02/2021 - 12/31/2023

SVB INVESTMENT SERVICES INC. (Santa Clara CA)

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Licenses & Designations

BOTH

Issued 03/20/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/01/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/02/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Carol Le. Review regulatory record here.
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