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LB

Le M. Bui

Some features on this profile are disabled
CRD#: 5581679
LB

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.

Le Ma Bui, who also goes by Lee Bui, was a registered financial professional .

Le is a previously registered financial professional and started their career in finance in 2009. Le had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Bui

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

January 23, 2018 - October 1, 2019

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
BROOKLYN, NY
Past

January 3, 2018 - October 1, 2019

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

August 13, 2015 - October 26, 2017

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
NEW YORK, NY
Past

August 11, 2015 - October 26, 2017

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
NEW YORK, NY
Past

April 17, 2015 - April 29, 2015

CAREY FINANCIAL, LLC

BD
CRD#: 15246
NEW YORK, NY
Past

October 1, 2012 - January 7, 2014

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

October 1, 2012 - January 7, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 19, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

December 19, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

July 8, 2010 - August 24, 2011

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

July 1, 2010 - August 24, 2011

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

June 26, 2009 - February 16, 2010

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
NEW YORK, NY
Past

May 28, 2009 - June 27, 2009

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

April 14, 2009 - May 20, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW YORK, NY

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".
LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/6/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/2009
General Securities Representative Examination

Current Firm

LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)
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Contact information

Main Address
30 Hudson Street, Jersey City, NJ 07302-4804
Mailing Address
Phone number
(201) 827-2000
Established
Firm type
Fiscal year end
# of Employees
789

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/20/2024)

Regulatory assets under management

Total Number of Accounts30,191
AUM (Assets Under Management)$ 238,757,080,041

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.

Company Information

LORD, ABBETT & CO. LLC

CRD#: 110391

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