Tam T. Le
VALIC FINANCIAL ADVISORS
Modesto, CA 95354
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CRD#: 4634478
Professional summary
Tam Thi Le, CFP®, who also goes by Tam Thi Le Ms., Tam Le, Tammee T. Le, Tammee Le, Tammi T. Le, Tammi Thi Le, Tam Thi Le, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Modesto, California.
Tam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Tam has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tam Thi Le Ms. | Tam Le | Tammee T. Le | Tammee Le | Tammi T. Le | Tammi Thi Le | Tam Thi Le
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.
AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products RENTAL PROPERTY POSITION: Owner NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2024 ADDRESS: 820 Casanova Ave. Unit 79, Monterey CA 93940, United States DESCRIPTION: Landlord
CRS (Client Relationship Summary) - RIA
Click below to view Tam Thi Le's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tam Thi Le's 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®
CFP®
Start date: 2015
Experience
Current
January 4, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1150 9th Street Suite 1212, Modesto, CA 95354RIA
BD
CRD#: 42803
Modesto, CA
Current
January 4, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1150 9th Street Suite 1212, Modesto, CA 95354RIA
BD
CRD#: 42803
Modesto, CA
Past
March 5, 2021 - November 24, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
SANTA CLARA, CA
Past
March 2, 2021 - November 24, 2021
PFS INVESTMENTS INC.
RIA
CRD#: 10111
SANTA CLARA, CA
Past
October 29, 2020 - November 13, 2020
PEAK AMERICAN INVESTMENT ADVISORS, INC.
RIA
CRD#: 145056
Marina, CA
Past
August 27, 2014 - April 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CARMEL, CA
Past
August 27, 2014 - April 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CARMEL, CA
Past
January 12, 2007 - July 21, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEWPORT BEACH, CA
Past
January 12, 2007 - July 21, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEWPORT BEACH, CA
Past
September 19, 2006 - October 12, 2006
M.L. STERN & CO., LLC.
RIA
CRD#: 8327
CARMEL, CA
Past
September 19, 2006 - October 12, 2006
M.L. STERN & CO., LLC.
BD
CRD#: 8327
CARMEL, CA
Past
November 16, 2005 - June 20, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SALINAS, CA
Past
November 2, 2005 - June 20, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SALINAS, CA
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
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
RR
California(1/4/2022)
IAR
California(1/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
