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Huy Le
HUY LY LE, Kevin Le
CRD#: 5944298
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 421 WANDO PARK BLVD
SUITE 130
MOUNT PLEASANT, SC 29464
SUITE 130
MOUNT PLEASANT, SC 29464
0
Disclosures
11
Years of Experience
View By:
State Registrations
B
Florida 9/7/2022
B
South Carolina 9/7/2022
IA
Florida 9/16/2022
IA
South Carolina 9/7/2022
B
New York 9/7/2022
B
Texas 9/7/2022
IA
New York 1/19/2023
IA
Texas 9/7/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/7/2022
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Registered with this firm since 9/7/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2019 - 09/08/2022 | SUMMERVILLE, SC | |
B | 08/30/2019 - 09/08/2022 | SUMMERVILLE, SC | |
IA | 10/09/2017 - 05/21/2019 | LAKE MARY, FL | |
B | 08/21/2017 - 05/21/2019 | Lake Mary, FL | |
IA | 05/20/2014 - 08/09/2017 | BONITA SPRINGS, FL | |
B | 05/19/2014 - 08/09/2017 | BONITA SPRINGS, FL | |
IA | 04/24/2013 - 05/20/2014 | BONITA SPRINGS, FL | |
B | 03/26/2013 - 05/20/2014 | BONITA SPRINGS, FL |
BONITA SPRINGS, FL
04/24/2013 - 05/20/2014
BONITA SPRINGS, FL
03/26/2013 - 05/20/2014
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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.