Kim T. 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.
Kim Thanh Le, who also goes by Kim T Le, Kim Thanh Le, Kim Le, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1999. Kim had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
November 7, 2019 - September 23, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 6, 2019 - September 23, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 20, 2014 - November 15, 2017
AVANTAX INVESTMENT SERVICES, INC.
June 16, 2014 - November 15, 2017
AVANTAX ADVISORY SERVICES
July 2, 2004 - July 11, 2012
CETERA INVESTMENT ADVISERS LLC
June 30, 2004 - July 11, 2012
CETERA FINANCIAL SPECIALISTS LLC
August 21, 2003 - July 2, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
August 20, 2003 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
January 27, 1999 - August 30, 2001
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
