Phuc Q. Le

CETERA INVESTMENT ADVISERS LLC

DULUTH, GA 30096

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CRD#: 1292440

Professional summary

Phuc Quang Le, ChFC®, CLU®, who also goes by P Q Le, Pq Le, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duluth, Georgia and CETERA WEALTH SERVICES, LLC located in Duluth, Georgia.

Phuc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Phuc has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

P Q Le | Pq Le

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. PROVIDENTIAL LEGACY GROUP, LLC POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 05/01/2020 ADDRESS: 2180 Satelitte Blvd., Suite 400, Atlanta GA 30097, United States DESCRIPTION: Performing as a full time managing partner (AMP) build and develop financial professionals to produce and generate diversified financial services business productions. . I receive income from management override of these advisors' productions, my personal production, bonuses and other financial incentives that my team: 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 06/2006, APX NUMBER OF HOURS PER WEEK:5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS: 3. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 14, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phuc Quang Le's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3235 Satallite Blvd Bldg 400 St 300, Duluth, GA 30096

RIA

CRD#: 105644

DULUTH, GA

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3235 Satellite Blvd Bldg 400 Suite 300, Duluth, GA 30096

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/10/2025)

California
(8/10/2023)

Florida
(8/14/2023)

Georgia
(8/10/2023)

IAR

Georgia
(8/10/2023)

North Carolina
(1/6/2025)

Texas
(8/10/2023)

IAR

Texas
(8/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/23/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/16/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Phuc Q. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phuc Quang Le's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

BMA FINANCIAL SERVICES, INC.

WMA SECURITIES, INC.

UNITED SECURITIES ALLIANCE, INC.

WMA SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2006

Series 65

Date: 6/2/1998

Series 63

Date: 10/24/1984

SIE

Date: 10/1/2018

Series 7

Date: 5/23/2006

Series 6

Date: 11/16/1984

Series 26

Date: 1/2/2023

Series 24

Date: 11/14/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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