Karin T. Le

CAPITAL PLANNING ADVISORS LLC

Roseville, CA 95661

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CRD#: 4863863

Professional summary

Karin Tram Le, CFP® is a registered financial advisor currently at CAPITAL PLANNING ADVISORS LLC located in Roseville, California.

Karin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Karin has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

CAPITAL INDEPENDENT INSURANCE SERVICES LLC INVESTMENT RELATED: NO ADDRESS: 1420 ROCKY RIDGE DR., STE 140, ROSEVILLE, CA 95661 NATURE OF THE BUSINESS: INSURANCE SERVICES, Senior Wealth Advisor, 1 hour a month (during trading hours). Started 9/7/18 Insurance Sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karin Tram 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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

September 19, 2018 - Present

CAPITAL PLANNING ADVISORS LLC

Office #1: 1420 Rocky Ridge Drive #140, Roseville, CA 95661

RIA

CRD#: 170266

Roseville, CA

Past

January 3, 2011 - September 18, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

EL DORADO HILLS, CA

Past

January 3, 2011 - September 18, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EL DORADO HILLS, CA

Past

February 21, 2005 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ROSEVILLE, CA

Past

October 22, 2004 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

ROSEVILLE, 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".

CAPITAL PLANNING ADVISORS LLC

CRD#: 170266 / SEC#: 801-79170

RIA

Registered Investment Advisory firm - (2/28/2014 Approved)

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

California
(9/19/2018)

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: 2/17/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/2004

General Securities Representative Examination

Current Firm

CAPITAL PLANNING ADVISORS LLC

CRD#: 170266 / SEC#: 801-79170

RIA

Registered Investment Advisory firm - (2/28/2014 Approved)

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Contact information

Main Address

1420 Rocky Ridge Drive #140, Roseville, CA 95661

Mailing Address

Phone number

(916) 286-7650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL PLANNING ADVISORS LLC 1-30-14 (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,144
AUM (Assets Under Management)	$ 1,376,377,609

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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Karin T. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karin Tram Le's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

CAPITAL PLANNING ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2005

SIE

Date: 9/18/2018

Series 7

Date: 10/21/2004

Current Firm

CAPITAL PLANNING ADVISORS LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL PLANNING ADVISORS LLC

TRUST BUT VERIFY

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