Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Loc? Claim Your ProfileLoc Le is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 12 years of experience in the financial services industry. Loc Le is registered with both FINRA and the state of Florida as well as in several other states, including Texas and California. Loc Le has a Series 7, 6, and 66 licenses, and has worked for several firms including Fifth Third Securities, Inc. and NYLIFE Securities LLC. Loc Le's specializations include portfolio management for individuals and businesses, as well as pension consulting and educational seminars. Loc Le is also a general partner/managing member of Raimundo Le Realty.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
FL
02/03/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WINTER PARK FL)
FL
06/19/2012 - 11/08/2013
FIFTH THIRD SECURITIES, INC. (ORLANDO FL)
FL
08/09/2010 - 02/18/2011
NYLIFE SECURITIES LLC (ORLANDO FL)
BOTH
Issued 01/31/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/16/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2013
Series 7 - General Securities Representative Examination
BC
Issued 08/06/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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