Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diep? Claim Your ProfileDiep Le is a financial advisor with over 17 years of experience in the financial services industry. Diep holds the Series 6, 7, and 63 licenses, and has also passed the Series 65 and SIE exams. Diep is a Certified Financial Planner (CFP) and has previously worked for Citigroup Global Markets Inc. and National Planning Corporation. Diep currently works at Morgan Stanley, where they provide financial planning, asset allocation advice, and portfolio management services to a wide range of clients, including individuals, businesses, high-net-worth individuals, and institutions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/19/2020 - Present
Morgan Stanley (RIVERSIDE CA)
CA
07/15/2015 - 11/06/2017
NATIONAL PLANNING CORPORATION (REDLANDS CA)
CA
05/29/2007 - 12/31/2014
CITIGROUP GLOBAL MARKETS INC. (REDLANDS CA)
CA
09/05/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (LOMA LINDA CA)
IA
Issued 05/09/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2016
Series 7 - General Securities Representative Examination
BC
Issued 09/03/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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