Anthony P. Le
Professional summary
Anthony P Le was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Anthony had worked at 8 firms, which includes LOOP CAPITAL MARKETS LLC, SANTANDER US CAPITAL MARKETS LLC, PIERPONT CAPITAL ADVISORS LLC, WALL STREET ACCESS, BNY CAPITAL MARKETS INC., KEEFE BRUYETTE & WOODS INC., ABN AMRO INCORPORATED, BARCLAYS CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2013 - May 29, 2015
LOOP CAPITAL MARKETS LLC
March 1, 2013 - December 5, 2013
SANTANDER US CAPITAL MARKETS LLC
January 4, 2011 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
October 17, 2007 - December 14, 2010
WALL STREET ACCESS
September 25, 2006 - October 19, 2007
BNY CAPITAL MARKETS INC.
September 22, 2004 - September 12, 2005
KEEFE, BRUYETTE & WOODS, INC.
January 20, 2004 - August 25, 2004
ABN AMRO INCORPORATED
February 15, 2001 - January 9, 2004
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
