Tuyen D. Le
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.
Tuyen Dinh Le, who also goes by Duc Le, was a registered financial professional .
Tuyen is a previously registered financial professional and started their career in finance in 1993. Tuyen had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2001 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
October 22, 1996 - October 16, 2001
WESTERN INTERNATIONAL SECURITIES, INC.
December 17, 1993 - November 4, 1996
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
WHITE PACIFIC SECURITIES, INC.
CRD#: 42505 / SEC#: , 8-49936
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
