Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hoa? Claim Your ProfileHoa Thi Le is an investment advisor representative with Transcend Capital Advisors, LLC, and a registered representative with Purshe Kaplan Sterling Investments, Inc. Hoa has been in the financial services industry since June 15, 2001, and is currently registered to provide investment advice in New Jersey. She is also a licensed securities representative, and her professional qualifications include holding the Series 63, Series 66 and Series 7 securities licenses. Prior to joining Transcend Capital Advisors, LLC, Hoa worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, UBS Financial Services Inc., and Citigroup Global Markets Inc. She holds several professional designations, including a SIE.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NJ
03/22/2021 - Present
Transcend Capital Advisors, LLC (MADISON NJ)
NJ
08/23/2013 - 03/22/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
NJ
02/29/2012 - 08/30/2013
WELLS FARGO ADVISORS, LLC (SUMMIT NJ)
NJ
09/28/2010 - 02/27/2012
UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)
NY
07/26/1999 - 08/18/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
08/05/1998 - 10/23/1998
E*TRADE SECURITIES, INC. (JERSEY CITY NJ)
BOTH
Issued 04/18/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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