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Detailed Report
ELWAY HOANG LE
ELWAY H LE, ELWAY LE
CRD#: 2951437
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1999 (<1 year)2 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - Present (11 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2004 (5 years)BCOPELAND EQUITIES, INC. (CRD# 7447)1998 - 1998 (<1 year)BFORTIS INVESTORS, INC. (CRD# 421)1997 - 1997 (<1 year)IAMORGAN STANLEY (CRD# 7556)2000 - 2004 (4 years)
License(s)

State Registrations

B
Arizona 11/26/2013
B
Montana 8/31/2018
B
California 11/26/2013
B
Nebraska 11/5/2021
IA
California 11/26/2013
B
Nevada 3/4/2016
B
Colorado 1/30/2018
B
New Jersey 8/31/2018
B
Connecticut 4/14/2020
B
New Mexico 6/18/2014
B
Delaware 9/22/2020
B
New York 8/31/2018
B
District of Columbia 1/2/2025
B
North Carolina 9/4/2018
B
Florida 3/21/2016
B
Oklahoma 1/25/2019
B
Georgia 1/25/2019
B
Oregon 8/31/2018
B
Hawaii 8/31/2018
B
Tennessee 2/20/2019
B
Idaho 3/31/2021
B
Texas 12/11/2017
B
Illinois 1/25/2019
IA
Texas 12/12/2017
B
Louisiana 3/13/2023
B
Utah 8/31/2018
B
Maryland 8/31/2018
B
Virginia 7/26/2017
B
Massachusetts 8/27/2021
B
Washington 12/17/2015
B
Missouri 9/22/2020
B
Wisconsin 8/31/2018

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 11/26/2013
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 11/26/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 12/04/2013 MORGAN STANLEY (CRD#:149777) GLENDALE, CA
B
 06/01/2009 - 12/04/2013 MORGAN STANLEY (CRD#:149777) GLENDALE, CA
IA
 07/06/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
B
 07/06/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
IA
 01/19/2000 - 07/08/2004 MORGAN STANLEY (CRD#:7556) GLENDALE, CA
B
 05/25/1999 - 07/08/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 12/22/1998 - 05/24/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 10/20/1998 - 01/11/1999 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
B
 01/01/1998 - 08/21/1998 COPELAND EQUITIES, INC. (CRD#:7447) SOMERSET, NJ
B
 10/28/1997 - 11/10/1997 FORTIS INVESTORS, INC. (CRD#:421) OAKDALE, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.