Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mai? Claim Your ProfileMai Thi Le is a financial professional who is registered in Massachusetts, Texas, and Utah. Mai is a Series 63, Series 7, Series 9, Series 10, and Series 4 licensed professional who has been in the industry since November 12, 2015. Mai is currently employed by Fidelity Brokerage Services LLC.
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.
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.
1
2
TX
11/13/2015 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
BC
Issued 11/20/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/27/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/06/2018
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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