Deodat 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.
Deodat Le, who also goes by Deodat Khuong-ninh Le, was a registered financial professional .
Deodat is a previously registered financial professional and started their career in finance in 2001. Deodat had worked at 1 firm and has passed the Series 63, SIE, Series 3, Series 52, Series 38, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2001 - March 24, 2017
PICTET OVERSEAS 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
Series 38
Date: 2/27/2001
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
PICTET OVERSEAS INC.
CRD#: 36500 / SEC#: , 8-47285
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOPAFIN SA | DIRECT OWNER | |
| BAHADOOR, NITISH RAJ NMN | PRINCIPAL OPERATIONS OFFICER | 7779149 |
| GIRARD, CELINE | CHIEF COMPLIANCE OFFICER | 6324683 |
| HAMID, ERIC JEAN-PAUL | CHIEF EXECUTIVE OFFICER (AMERICAS) & DIRECTOR | 5301753 |
| LA SALA, GASPARE NMN | DIRECTOR | 7275103 |
| PETIT, GRÉGORY ANDRÉ ROGER | DIRECTOR | 7275081 |
| RUST, LAURENT MARC | CHIEF FINANCIAL OFFICER, CHIEF OF STAFF, PRINCIPAL FINANCIAL OFFICER, CORPORATE SECRETARY, FIN-OP | 7854583 |
Disclosures
| Regulatory Event | 2 |
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.
