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I-CHEN LE
CRD#: 4934367
IA
B
WELLS FARGO ADVISORSCRD#: 19616 15282 SUMMIT AVE
FONTANA, CA 92336
FONTANA, CA 92336
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Arizona 6/22/2016
B
Indiana 8/31/2020
B
California 1/3/2011
B
Nevada 10/4/2018
IA
California 1/3/2011
B
South Dakota 12/13/2022
B
Colorado 9/17/2019
B
Texas 8/2/2018
B
Florida 4/15/2025
IA
Texas 8/2/2018
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/3/2011
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/28/2008 - 01/03/2011 | SAN BERNARDINO, CA | |
B | 05/28/2008 - 01/03/2011 | SAN BERNARDINO, CA | |
IA | 05/04/2007 - 05/20/2008 | SAN BERNARDINO, CA | |
B | 05/04/2007 - 05/20/2008 | SAN BERNARDINO, CA | |
IA | 03/03/2006 - 05/07/2007 | CORONA, CA | |
B | 04/04/2005 - 05/07/2007 | CORONA, CA |
CORONA, CA
03/03/2006 - 05/07/2007
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.