Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hy? Claim Your ProfileHy Quang Le is a financial professional with over 20 years of experience in the industry. Hy is currently registered with Hilltop Securities Inc. and is licensed to provide investment advice in 14 states. Prior to joining Hilltop Securities Inc. Hy was employed with Piper Sandler & Co., Challenger Capital Group, Ltd., and Banc One Capital Markets, Inc. Hy has a broad range of experience in various investment strategies and holds several industry credentials, including Series 7, Series 52, Series 50, and SIE licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
12b-1 fees
1
2
AZ
01/04/2023 - Present
Hilltop Securities Inc. (PHOENIX AZ)
AZ
09/30/2013 - 02/10/2020
PIPER SANDLER & CO. (PHOENIX AZ)
TX
04/19/2005 - 05/30/2006
CHALLENGER CAPITAL GROUP, LTD. (DALLAS TX)
IL
10/17/2001 - 08/02/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
BC
Issued 02/11/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/04/2023
Series 7TO - General Securities Representative Examination
BC
Issued 11/14/2022
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2013
Series 52 - Municipal Securities Representative Examination
BC
Issued 10/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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