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Detailed Report
TAM THI LE
TAM THI LE MS., TAM LE, TAMMEE T. LE, TAMMEE LE, TAMMI T. LE…
CRD#: 4634478
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 1150 9TH STREET
SUITE 1212
MODESTO, CA 95354
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (<1 year)2 FIRMS2006 - 2006 (<1 year)2 FIRMS2007 - 2014 (7 years)2 FIRMS2014 - 2019 (4 years)2 FIRMS2021 - 2021 (<1 year)2 FIRMS2022 - Present (3 years)IAPEAK AMERICAN INVESTMENT ADVIS... (CRD# 145056)2020 - 2020 (<1 year)
License(s)

State Registrations

B
California 1/4/2022
IA
California 1/4/2022

SRO Registrations

B
 FINRA

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
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
1150 9TH STREET SUITE 1212, MODESTO, CA 95354
Registered with this firm since 1/4/2022
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
1150 9TH STREET SUITE 1212, MODESTO, CA 95354
Registered with this firm since 1/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/02/2021 - 11/24/2021 PRIMERICA ADVISORS (CRD#:10111) SANTA CLARA, CA
B
 03/05/2021 - 11/24/2021 PFS INVESTMENTS INC. (CRD#:10111) SANTA CLARA, CA
IA
 10/29/2020 - 11/13/2020 PEAK AMERICAN INVESTMENT ADVISORS, INC. (CRD#:145056) Marina, CA
IA
 08/27/2014 - 04/02/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CARMEL, CA
B
 08/27/2014 - 04/02/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CARMEL, CA
IA
 01/12/2007 - 07/21/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEWPORT BEACH, CA
B
 01/12/2007 - 07/21/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEWPORT BEACH, CA
IA
 09/19/2006 - 10/12/2006 M. L. STERN & CO, LLC. (CRD#:8327) CARMEL, CA
B
 09/19/2006 - 10/12/2006 M.L. STERN & CO., LLC. (CRD#:8327) CARMEL, CA
IA
 11/16/2005 - 06/20/2006 MORGAN STANLEY (CRD#:7556) SALINAS, CA
B
 11/02/2005 - 06/20/2006 MORGAN STANLEY DW INC. (CRD#:7556) SALINAS, CA
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.