Duy H. Le

FOUNTAINHEAD ADVISORS

Warren, NJ 07059

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CRD#: 4177189

Professional summary

Duy H Le, who also goes by Duy Hoang Le ^^, Duy Hoang Le, Duy Le, Rick ^^hoang Le ^^, Rick Le, Ricky ^^hoang Le ^^, Ricky Le, is a registered financial advisor currently at FOUNTAINHEAD ADVISORS located in Warren, New Jersey.

Duy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Duy has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

*251327 - Real Futbol Academy; Investment related: No; Medford, New Jersey; Sports team; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 08/2016; During business hours: 2; After business hours: 38; Coaching young soccer players

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duy H 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

December 19, 2024 - Present

FOUNTAINHEAD ADVISORS

Office #1: 10 Independence Blvd Suite 120, Warren, NJ 07059

RIA

CRD#: 156185

Warren, NJ

Past

May 2, 2014 - December 19, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Lawrenceville, NJ

Past

May 1, 2014 - December 19, 2024

MORGAN STANLEY

CRD#: 149777

Lawrenceville, NJ

Past

February 4, 2011 - April 30, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PRINCETON, NJ

Past

January 13, 2011 - April 30, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PRINCETON, NJ

Past

March 24, 2008 - November 2, 2009

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

NEW YORK, NY

Past

May 31, 2005 - November 9, 2006

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

NEW YORK, NY

Past

May 16, 2000 - July 27, 2004

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

NEW YORK, NY

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".

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(12/19/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/30/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/31/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/15/2000

General Securities Representative Examination

Current Firm

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 Terminated)

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Contact information

Main Address

10 Independence Blvd Suite 120, Warren, NJ 07059

Mailing Address

Phone number

(732) 346-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNTAINHEAD ADVISORS & FOUNTAINHEAD PRIVATE WEALTH ADV 2A JUNE 2025 (6/12/2025)

Regulatory assets under management

Total Number of Accounts	3,733
AUM (Assets Under Management)	$ 1,019,956,144

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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Duy H. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duy H Le's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIS BROKERAGE & SECURITIES SERVICES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

LIGHTSPEED PROFESSIONAL TRADING LLC

Primary Firm SEC Registration

FOUNTAINHEAD ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2011

Series 63

Date: 6/3/2000

SIE

Date: 10/1/2018

Series 55

Date: 5/31/2000

Series 7

Date: 5/15/2000

Current Firm

FOUNTAINHEAD ADVISORS

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNTAINHEAD ADVISORS

TRUST BUT VERIFY

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