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Detailed Report
Carol Le
CRD#: 7302712
IA
Investment Adviser
B
Broker
SVB WEALTHCRD#: 172832 2770 Sand Hill Rd.
Menlo Park, CA 94025
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 2770 Sand Hill Rd
Menlo Park, CA 94025
Registration History
20002002200420062008201020122014201620182020202220242026IASVB WEALTH (CRD# 172832)2022 - Present (2 years)BFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2023 - Present (1 year)BSVB INVESTMENT SERVICES INC. (CRD# 168116)2021 - 2023 (2 years)IASVB INVESTMENT SERVICES INC. (CRD# 168116)2021 - 2022 (1 year)
Disclosure(s)
View By:
10/13/1999
Criminal
Final Disposition
License(s)

State Registrations

IA
Arizona 7/8/2022
IA
Illinois 7/6/2022
IA
California 6/29/2022
IA
Montana 6/29/2022
B
California 12/26/2023
IA
Texas 7/5/2022
IA
Colorado 6/29/2022
IA
Virginia 6/29/2022
IA
Georgia 6/29/2022
IA
Washington 6/29/2022
IA
Idaho 6/28/2022

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
SVB WEALTH (CRD#:172832)
2770 Sand Hill Rd., Menlo Park, CA 94025
Registered with this firm since 6/28/2022
B
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
2770 Sand Hill Rd, Menlo Park, CA 94025
Registered with this firm since 12/26/2023
Previous Registration(s)
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B
 02/02/2021 - 12/31/2023 SVB INVESTMENT SERVICES INC. (CRD#:168116) Santa Clara, CA
IA
 04/19/2021 - 07/29/2022 SVB INVESTMENT SERVICES INC. (CRD#:168116) Santa Clara, 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.