Tiffany K. Le

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CRD#: 4696188

Professional summary

Tiffany Kim Le was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Tiffany is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Tiffany had worked at 6 firms, which includes LOGIC WEALTH MANAGEMENT LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., WAMU INVESTMENTS INC., NATIONAL PLANNING CORPORATION, CITICORP INVESTMENT SERVICES.

Question & Answer

Are you a "fiduciary"?

Aliases

Hue Kim 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 20, 2015 - November 10, 2015

LOGIC WEALTH MANAGEMENT, LLC

RIA

CRD#: 153453

PASADENA, CA

Past

October 1, 2012 - May 9, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ALHAMBRA, CA

Past

October 1, 2012 - May 9, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

ALHAMBRA, CA

Past

January 12, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ALHAMBRA, CA

Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ALHAMBRA, CA

Past

March 31, 2008 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

ALHAMBRA, CA

Past

August 10, 2007 - September 21, 2007

NATIONAL PLANNING CORPORATION

CRD#: 29604

WEST COVINA, CA

Past

July 5, 2004 - May 3, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

ALHAMBRA, 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".

LOGIC WEALTH MANAGEMENT, LLC

CRD#: 153453 / SEC#: 801-129485

RIA

Registered Investment Advisory firm - (2/9/2024 Approved)

California

Registered Investment Advisory firm - (1/23/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/24/2024 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 10/22/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/8/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LOGIC WEALTH MANAGEMENT, LLC

CRD#: 153453 / SEC#: 801-129485

RIA

Registered Investment Advisory firm - (2/9/2024 Approved)

California

Registered Investment Advisory firm - (1/23/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/24/2024 Terminated)

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Contact information

Main Address

1055 East Colorado Blvd, Suite 500, Pasadena, CA 91106

Mailing Address

1055 East Colorado Blvd, Suite 500, Pasadena, CA 91106

Phone number

(626) 757-4323

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LOGICWM BROCHURE 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	585
AUM (Assets Under Management)	$ 164,666,548

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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Firm Stability Insights

Tiffany K. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

LOGIC WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2009

Series 63

Date: 8/26/2004

Series 7

Date: 7/8/2009

Series 6

Date: 7/2/2004

Current Firm

LOGIC WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LOGIC WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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