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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thanh? Claim Your ProfileThanh H Le is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Thanh has been in the industry since June 2008 and has experience with a variety of investment firms. Thanh holds the Series 7, Series 31, and Series 66 licenses and is registered with the state of Texas. Thanh specializes in providing financial advice to individuals, corporations, and pension plans. Thanh is also a Registered Investment Advisor in Texas.
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
TX
12/14/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
NJ
04/30/2013 - 07/14/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
PA
03/09/2011 - 02/22/2013
LPL FINANCIAL LLC (HORSHAM PA)
NJ
09/17/2008 - 07/19/2010
UBS FINANCIAL SERVICES INC. (NORTHFIELD NJ)
NJ
09/18/2007 - 10/02/2008
CITIGROUP GLOBAL MARKETS INC. (EGG HARBOR TOWNSHIP NJ)
NY
04/06/2007 - 09/19/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/19/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/05/2007
Series 7 - General Securities 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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