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Si thomas Thanh Le

Park Avenue Securities LLC

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About Si thomas Thanh Le

Si Thomas Le is a financial advisor with over nine years of experience in the financial industry. Si Thomas Le is registered with Park Avenue Securities LLC and has been working in the Sacramento, CA area since September 2023. Si Thomas Le has held licenses for both Series 6 and Series 7TO exams, specializing in financial planning, educational seminars and selection of other advisers.

Firm Information

Si thomas Le is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Si thomas Le’s Registration & Firm History

CA

09/11/2023 - Present

Park Avenue Securities LLC (SACRAMENTO CA)

CA

01/22/2014 - 08/09/2023

NYLIFE SECURITIES LLC (ELK GROVE CA)

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Licenses & Designations

BC

Issued 03/11/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/10/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/17/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/22/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Si thomas Thanh Le. Review regulatory record here.
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