Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vi? Claim Your ProfileVi Le is a financial advisor with J.P. Morgan Securities LLC, having joined in October 2012. Vi holds the Series 6, Series 7, and Series 66 licenses, demonstrating a commitment to professional knowledge and growth. Vi's experience in the financial industry dates back to May 1996, starting with a position at WAMU. Vi serves clients across various types including corporations, high-net-worth individuals, and charitable organizations. Vi's focus is on providing financial planning services and portfolio management for both businesses and individuals.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
09/23/2014 - Present
J.p. Morgan Securities LLC (LA HABRA CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (LA HABRA CA)
CA
05/28/2004 - 05/02/2009
WAMU INVESTMENTS, INC. (WEST COVINA CA)
BOTH
Issued 10/05/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2011
Series 7 - General Securities Representative Examination
BC
Issued 05/27/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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