Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim lien? Claim Your ProfileKim lien Le is a financial advisor with over 20 years of experience in the industry. Kim lien Le is currently registered with UBS Financial Services Inc. Kim lien Le has also held positions at Morgan Stanley and Citigroup Global Markets Inc. Kim lien Le is licensed to provide investment advice in several states, including California, Texas, and others. Kim lien Le holds the Series 7, 6, 31, 63, and 66 licenses. Kim lien Le has a wide range of experience in financial planning, investment management, and retirement planning. Kim lien Le has also been recognized for their expertise in a variety of investment areas, including stocks, bonds, and mutual funds.
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.
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.
See schedule d - miscellaneous
1
2
CA
09/27/2022 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
06/01/2009 - 10/07/2022
MORGAN STANLEY (San Francisco CA)
CA
05/04/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
02/05/2007 - 03/20/2007
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
12/18/2001 - 09/25/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CA
06/29/1999 - 03/01/2001
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
CA
05/14/1998 - 06/11/1999
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
BOTH
Issued 08/13/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 02/02/2007
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Kim lien Le is the right advisor for you? Invested Better is here to help.
