Hoa T. Le

TRANSCEND CAPITAL ADVISORS

MADISON, NJ 07940

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CRD#: 2979168

Professional summary

Hoa Thi Le is a registered financial advisor currently at TRANSCEND CAPITAL ADVISORS, LLC located in Madison, New Jersey and PURSHE KAPLAN STERLING INVESTMENTS 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 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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 L is dually-registered with Transcend Capital Advisors, LLC and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Ms. Le has served as an investment advisor representative for Transcend Capital Advisors, LLC and 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hoa Thi 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®

None

Experience

Current

March 22, 2021 - Present

TRANSCEND CAPITAL ADVISORS, LLC

Office #1: 7 Giralda Farms Suite 300, Madison, NJ 07940

RIA

CRD#: 299723

MADISON, NJ

Current

March 19, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 7 Giralda Farms Suite 300, Madison, NJ 07940

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

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

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.

CRD#: 8174

FLORHAM PARK, NJ

Past

July 26, 1999 - August 18, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 5, 1998 - October 23, 1998

E*TRADE SECURITIES LLC

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".

TRANSCEND CAPITAL ADVISORS, LLC

TRANSCEND CAPITAL ADVISORS, LLC | TRANSCEND WEALTH COLLECTIVE, LLC

CRD#: 299723 / SEC#: 801-114435

RIA

Registered Investment Advisory firm - (12/12/2018 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

IAR

New Jersey
(3/22/2021)

New Jersey
(3/23/2021)

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: 4/18/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/24/1998

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: 8/4/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRANSCEND CAPITAL ADVISORS, LLC

TRANSCEND CAPITAL ADVISORS, LLC | TRANSCEND WEALTH COLLECTIVE, LLC

CRD#: 299723 / SEC#: 801-114435

RIA

Registered Investment Advisory firm - (12/12/2018 Approved)

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Contact information

Main Address

7 Giralda Farms Suite 300, Madison, NJ 07940

Mailing Address

Phone number

(973) 370-3203

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRANSCEND CAPITAL ADVISORS, LLC - PART 2A BROCHURE (10/16/2025)

TRANSCEND CAPITAL ADVISORS, LLC - WRAP FEE PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,003
AUM (Assets Under Management)	$ 3,099,629,575

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/17/2025	Cover Page	Report
01/26/2024	Cover Page	Report
11/28/2022	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

Hoa T. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hoa Thi Le's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

TRANSCEND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/18/2011

Series 63

Date: 8/24/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/4/1998

FINRA

Current Firm

TRANSCEND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSCEND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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