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Tam Thi Le

Valic Financial Advisors, Inc.

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About Tam Thi Le

Tam Thi Le is a financial advisor registered with Valic Financial Advisors, Inc. Tam has been in the financial industry since 2008 and has a Series 7, Series 31, and Series 66 license. Tam is also a Certified Financial Planner. Tam is registered in California and offers financial planning, portfolio management for individuals, and selection of other advisors. Tam has over 12 years of experience in the financial industry, and has been a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley DW Inc., Wells Fargo Advisors, LLC, and PFS INVESTMENTS INC..

Firm Information

Tam Le is currently registered with Valic Financial Advisors, Inc.. Valic Financial Advisors, Inc. is a corporation formed in November 1996, headquartered in Houston, Texas. The firm offers financial planning, portfolio management for individuals, and selection of other advisers, among other services. They also have a wrap fee program and manage assets for both high-net-worth individuals and individuals other than high-net-worth. The firm is registered with the SEC and has a total of 52 state registrations. As of the most recent reporting period, the firm reported approximately $25.25 billion in regulatory assets under management.
Valic Financial Advisors, Inc.

2929 ALLEN PKWY; L7-20

HOUSTON, TX 77019

$25.25B

Assets Under Management

12

Total Clients

1,266

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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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.

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recommend wrap accounts to clients

Recommend wrap accounts to clients

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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Tam Le’s Registration & Firm History

CA

01/04/2022 - Present

Valic Financial Advisors, Inc. (MODESTO CA)

CA

03/05/2021 - 11/24/2021

PFS INVESTMENTS INC. (SANTA CLARA CA)

CA

08/27/2014 - 04/02/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CARMEL CA)

CA

01/12/2007 - 07/21/2014

WELLS FARGO ADVISORS, LLC (NEWPORT BEACH CA)

CA

09/19/2006 - 10/12/2006

M.L. STERN & CO., LLC. (CARMEL CA)

CA

11/02/2005 - 06/20/2006

MORGAN STANLEY DW INC. (SALINAS CA)

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Licenses & Designations

BOTH

Issued 11/14/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 11/01/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tam Thi Le.
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