Individual Firm
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Trish Le
CRD#: 6002689
IA
B
ALLSTATE FINANCIAL ADVISORS, LLCCRD#: 109524 1220 Howard Ave Ste 209
Burlingame, CA 94010-4256
Burlingame, CA 94010-4256
ALLSTATE FINANCIAL SERVICES, LLCCRD#: 18272 1220 Howard Ave Ste 209
Burlingame, CA 94010-4256
Burlingame, CA 94010-4256
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1/27/2015
Regulatory
Final
State Registrations
B
California 9/28/2017
IA
California 9/28/2017
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/28/2017
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Registered with this firm since 9/28/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/11/2016 - 02/07/2017 | Fountian Valley, CA | |
B | 04/08/2016 - 02/03/2017 | FOUNTAIN VALLEY, CA | |
IA | 04/07/2014 - 11/02/2015 | INDIAN WELLS, CA | |
B | 04/07/2014 - 11/02/2015 | INDIAN WELLS, CA | |
IA | 04/19/2013 - 10/31/2013 | BEVERLY HILLS, CA | |
B | 04/19/2013 - 10/31/2013 | BEVERLY HILLS, CA | |
IA | 04/04/2012 - 03/13/2013 | FOUNTAIN VALLEY, CA | |
B | 02/08/2012 - 03/13/2013 | FOUNTAIN VALLEY, CA |
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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.
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