JL
Julian S. Le
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CRD#: 2120318
JL
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Julian Son Le, who also goes by Tony Son Le, Julian S Le, Julian Son Le, S Lejulian, Juilan Sle, was a registered financial professional .
Julian is a previously registered financial professional and started their career in finance in 1999. Julian had worked at 21 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tony Son Le | Julian S Le | Julian Son Le | S Lejulian | Juilan Sle
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. 3/2018- NAMUS ADVISORY, INC., CEO AND OWNER. ENTITY OFFERING TAX & ACCOUNT SERVICES & RETAIL PRODUCT SALES OF ENAGIC WATER MACHINES DISTRIBUTOR. FOR TAX & ACCOUNTING SERVICES, HE SERVES AS ENROLLED AGENT. FOR ENAGIC DISTRIBUTOR SIDE, HE SERVES AS INDEPENDENT SALES AGENT. SPENDS 40 HOURS / MONTH. NOT INVESTMENT RELATED 2. 2/2021- GETZ INSURANCE AGENCY, INC. CEO AND OWNER. ENTITY OFFERING INSURANCE PRODUCTS FOR HOME, AUTO, COMMERCIAL , WORKERS COMP, BOP, AND LIFE INSURANCE. SPENDS 40 HOURS/ MONTH. NOT INVESTMENT RELATED. 3. 2/2020- KAM FINANCIAL & REALTY, INC. LOAN OFFICER FOR RESIDENTIAL MORTGAGES. SPENDS 10 HOURS/MONTH. NOT INVESTMENT RELATED. 4. 09/2021- MODERN T MEDIA, LLC. MANAGING MEMBER. ENTITY PROVIDES VIDEO PRODUCTIONS SPECIFICALLY FOR REAL ESTATE LISTINGS, AND COMMERCIAL BUSINESS LAUNCHES. SPENDS 10 HOURS/ MONTH. NOT INVESTMENT RELATED.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 7, 2021 - July 25, 2022
REDHAWK WEALTH ADVISORS, INC.
RIA
CRD#: 146616
GARDEN GROVE, CA
Past
May 14, 2021 - June 7, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Garden Grove, CA
Past
March 7, 2019 - May 21, 2019
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
COSTA MESA, CA
Past
July 16, 2015 - November 21, 2017
ROYAL FUND MANAGEMENT, LLC
RIA
CRD#: 144434
FOUNTAIN VALLEY, CA
Past
April 1, 2015 - July 6, 2015
VIRTUE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 167816
FOUNTAIN VALLEY, CA
Past
April 8, 2013 - March 20, 2014
SMC ADVISORY NETWORK, LLC
RIA
CRD#: 165389
GARDEN GROVE, CA
Past
May 26, 2011 - August 15, 2011
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
FOUNTAIN VALLEY, CA
Past
March 11, 2011 - May 16, 2011
AMERICAN ELITE RETIREMENT
RIA
CRD#: 152499
FOUNTAIN VALLEY, CA
Past
February 26, 2009 - March 9, 2009
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEWPORT BEACH, CA
Past
February 26, 2009 - March 9, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEWPORT BEACH, CA
Past
January 2, 2009 - May 2, 2009
NAMUS GROUP, INC.
RIA
CRD#: 145904
FOUNTAIN VALLEY, CA
Past
June 25, 2008 - August 12, 2008
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
SANTA ANA, CA
Past
June 18, 2008 - August 12, 2008
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
NEW YORK, NY
Past
October 10, 2007 - June 23, 2008
ENVISION INVESTMENT ADVISORS, LLC
RIA
CRD#: 143667
FOUNTAIN VALLEY, CA
Past
December 2, 2005 - April 26, 2007
TITAN SECURITIES
BD
CRD#: 131392
PLANO, TX
Past
July 16, 2003 - December 4, 2003
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
May 22, 2002 - November 25, 2002
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
February 6, 2002 - March 25, 2002
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
April 26, 2001 - October 26, 2001
VANTAGE INVESTMENTS
BD
CRD#: 46674
HUNTINGTON BEACH, CA
Past
February 13, 2001 - March 27, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 13, 2001 - March 27, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 7, 2000 - February 1, 2001
VANTAGE INVESTMENTS
BD
CRD#: 46674
HUNTINGTON BEACH, CA
Past
January 7, 2000 - March 31, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 14, 1999 - October 29, 1999
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
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".
RW
REDHAWK WEALTH ADVISORS, INC.
ACE TAX & FINANCIAL | WEST END WEALTH MANAGEMENT | WEALTH STRONG LIFE SOLUTIONS | VALLEY MARKETING AND CONSULTING | TOP RANK ADVISORS LLC | THOMPSON WEALTH MANAGEMENT | THE WITTMAN GROUP, INC. | THE FINANCIAL LEGACY GROUP | TCG PROSPERITY | TAN FINANCIAL SOLUTIONS | SYNCHRONIZED WEALTH STRATEGIES LLC | SUN CITY FINANCIAL | STROM FINANCIAL | SIS SERVICES | SFG TAX ADVISORS, LLC | SCOTT GREENAMEYER WEALTH ADVISOR | SCF WEALTH, LLC | RETIREMENT VISIONS | REDHAWK WEALTH ADVISORS, INC. | REDHAWK WEALTH ADVISORS (NO DBA NAME) | RAY HODGES FINANCIAL GROUP | PLAN WISE | PATTEN FINANCIAL GROUP, LLC | PANICHI BLAIR WEALTH ADVISORS | ORIGIN FINANCIAL GROUP LLC | NUVO WEALTH | LOWRY FINANCIAL ADVISORS, INC. | LIVING BENEFITS, LLC | LANGE FINANCIAL ADVISORS, INC. | KINGDOM CALLING | KEEP YOUR WEALTH LLC | K & A WEALTH ADVISORS | JAMES C NEATHERY & ASSOCIATES | INTEGRITY FINANCIAL SERVICES, LLC | ILUMA FINANCIAL PARTNERS | GREENE FINANCIAL SERVICES, INC. | FOCUSED FINANCIAL SOLUTIONS | FIRSTFRUITS ASSET MANAGEMENT | FINANCIAL STRATEGIES GROUP | FINANCIAL INDEPENDENCE TEAM, LLC | ET INVESTMENTS INC. | EQUITY FINANCIAL GROUP | ELLEMAN INVESTMENT MANAGEMENT | DI FIDUCIA LLC | DGL CAPITAL | CRITERIUM FINANCIAL ADVISORS, LTD. | COX AND COMPANY, LLC | CLEAR FINANCIAL STRATEGIES, LLC | CHAMBERLAIN ADVISORY GROUP, INC | CHADWICK FINANCIAL SERVICES | ATLAS WEALTH MANAGEMENT | ASPEN CREEK CAPITAL MANAGEMENT LLC | ANNUITY BENEFITS COUNSELORS, INC. | ALPINE INVESTMENT MANAGEMENT | ALLIANCE FINANCIAL GROUP | ALINK CAPTIVE INSURANCE SERVICES | ALINK CAPITAL PRESERVATION AND RISK MANAGEMENT, LLC | ACE TAX & FINANCIAL, INC.
CRD#: 146616 / SEC#: 801-68902
RIA
Registered Investment Advisory firm - (3/6/2008 Approved)Rhode Island
Registered Investment Advisory firm - (2/10/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RW
REDHAWK WEALTH ADVISORS, INC.
ACE TAX & FINANCIAL | WEST END WEALTH MANAGEMENT | WEALTH STRONG LIFE SOLUTIONS | VALLEY MARKETING AND CONSULTING | TOP RANK ADVISORS LLC | THOMPSON WEALTH MANAGEMENT | THE WITTMAN GROUP, INC. | THE FINANCIAL LEGACY GROUP | TCG PROSPERITY | TAN FINANCIAL SOLUTIONS | SYNCHRONIZED WEALTH STRATEGIES LLC | SUN CITY FINANCIAL | STROM FINANCIAL | SIS SERVICES | SFG TAX ADVISORS, LLC | SCOTT GREENAMEYER WEALTH ADVISOR | SCF WEALTH, LLC | RETIREMENT VISIONS | REDHAWK WEALTH ADVISORS, INC. | REDHAWK WEALTH ADVISORS (NO DBA NAME) | RAY HODGES FINANCIAL GROUP | PLAN WISE | PATTEN FINANCIAL GROUP, LLC | PANICHI BLAIR WEALTH ADVISORS | ORIGIN FINANCIAL GROUP LLC | NUVO WEALTH | LOWRY FINANCIAL ADVISORS, INC. | LIVING BENEFITS, LLC | LANGE FINANCIAL ADVISORS, INC. | KINGDOM CALLING | KEEP YOUR WEALTH LLC | K & A WEALTH ADVISORS | JAMES C NEATHERY & ASSOCIATES | INTEGRITY FINANCIAL SERVICES, LLC | ILUMA FINANCIAL PARTNERS | GREENE FINANCIAL SERVICES, INC. | FOCUSED FINANCIAL SOLUTIONS | FIRSTFRUITS ASSET MANAGEMENT | FINANCIAL STRATEGIES GROUP | FINANCIAL INDEPENDENCE TEAM, LLC | ET INVESTMENTS INC. | EQUITY FINANCIAL GROUP | ELLEMAN INVESTMENT MANAGEMENT | DI FIDUCIA LLC | DGL CAPITAL | CRITERIUM FINANCIAL ADVISORS, LTD. | COX AND COMPANY, LLC | CLEAR FINANCIAL STRATEGIES, LLC | CHAMBERLAIN ADVISORY GROUP, INC | CHADWICK FINANCIAL SERVICES | ATLAS WEALTH MANAGEMENT | ASPEN CREEK CAPITAL MANAGEMENT LLC | ANNUITY BENEFITS COUNSELORS, INC. | ALPINE INVESTMENT MANAGEMENT | ALLIANCE FINANCIAL GROUP | ALINK CAPTIVE INSURANCE SERVICES | ALINK CAPITAL PRESERVATION AND RISK MANAGEMENT, LLC | ACE TAX & FINANCIAL, INC.
CRD#: 146616 / SEC#: 801-68902
RIA
Registered Investment Advisory firm - (3/6/2008 Approved)Rhode Island
Registered Investment Advisory firm - (2/10/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8500 Normandale Lake Blvd Suite 960, Bloomington, MN 55437
Mailing Address
Phone number
(952) 835-4295
Established
Firm type
Fiscal year end
# of Employees
55
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,283 |
| AUM (Assets Under Management) | $ 1,837,536,390 |
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.
