Khoa P. 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.
Khoa P Le, who also goes by Khoa P Le, Khoa P Le, was a registered financial professional .
Khoa is a previously registered financial professional and started their career in finance in 2002. Khoa had worked at 6 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2023 - April 9, 2024
ARMSTRONG SECURITIES LLC
May 10, 2019 - April 29, 2020
BOFA SECURITIES, INC.
July 19, 2016 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2010 - August 2, 2016
CREDIT SUISSE SECURITIES (USA) LLC
April 13, 2009 - September 1, 2010
TD ARRANGED SERVICES LLC
July 15, 2002 - April 15, 2009
MORGAN STANLEY & CO. LLC
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 7TO
Date: 4/13/2023
General Securities Representative ExaminationSeries 57TO
Date: 4/13/2023
Securities Trader ExamSeries 55
Date: 9/25/2002
Limited Representative-Equity Trader ExamCurrent Firm
ARMSTRONG SECURITIES LLC
CRD#: 307429 / SEC#: , 8-70480
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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