Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mai? Claim Your ProfileMai Ngoc Le is a registered representative and investment advisor representative with over 25 years of experience in the financial services industry. Mai has a broad background, with prior experience at firms like SunAmerica Securities, Inc., World Group Securities, Inc., and Sagepoint Financial, Inc. Mai currently works with Osaic Wealth, Inc. where Mai provides a variety of financial services including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Mai specializes in helping clients reach their financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
CA
09/01/2023 - Present
Osaic Wealth, Inc. (SAN JOSE CA)
CA
10/31/2005 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SAN JOSE CA)
AZ
07/15/2002 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
GA
04/12/2002 - 08/01/2002
WORLD GROUP SECURITIES, INC. (DULUTH GA)
GA
11/06/1997 - 04/12/2002
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 04/19/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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