HL
Hoa T. Le
TRANSCEND CAPITAL ADVISORS
MADISON, NJ 07940
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CRD#: 2979168
HL
Hoa Thi LeTRANSCEND CAPITAL ADVISORS
Professional summary
Hoa Thi Le is a registered financial advisor currently at TRANSCEND CAPITAL ADVISORS, LLC located in Madison, New Jersey and ARAX ADVISORY PARTNERS located in Madison, New Jersey.
Hoa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Hoa has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
None
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)Hoa Le is dually-registered with Arax Advisory Partners and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Ms. Le has served as a registered representative with PKS since 03/2021. Business is conducted from the Registered Branch Office location. Approximately 90% of Ms. Le's time is for services as an investment advisor representative and the balance as a registered representative.
CRS (Client Relationship Summary) - RIA
Click below to view Hoa Thi Le's 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®
NoneExperience
Current
March 22, 2021 - Present
TRANSCEND CAPITAL ADVISORS, LLC
Office #1: 7 Giralda Farms Suite 300, Madison, NJ 07940RIA
CRD#: 299723
MADISON, NJ
Current
August 3, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 7 Giralda Farms Suite 300, Madison, NJ 07940RIA
CRD#: 133535
Madison, NJ
Current
March 19, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 7 Giralda Farms Suite 300, Madison, NJ 07940BD
CRD#: 35747
Madison, NJ
Past
August 23, 2013 - March 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FLORHAM PARK, NJ
Past
August 23, 2013 - March 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FLORHAM PARK, NJ
Past
February 29, 2012 - August 30, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SUMMIT, NJ
Past
February 29, 2012 - August 30, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SUMMIT, NJ
Past
April 19, 2011 - February 27, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FLORHAM PARK, NJ
Past
September 28, 2010 - February 27, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FLORHAM PARK, NJ
Past
July 26, 1999 - August 18, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 5, 1998 - October 23, 1998
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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.RR
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
IAR
New Jersey(3/22/2021)
RR
New Jersey(3/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
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.
