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HL

Hien T. Le

NYLIFE SECURITIES LLC
Roseville, CA 95661
Some features on this profile are disabled
CRD#: 5661526
HL

Professional summary

Hien Trung Le, who also goes by Henry Le, Hien T Le, Hien Le, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Roseville, California.

Hien is registered as a RR (Registered Representative) and started their career in finance in 2009. Hien has worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henry Le | Hien T Le | Hien 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) - BD

Click below to view Hien Trung 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®
None

Experience

Current

October 3, 2022 - Present

NYLIFE SECURITIES LLC

Office #1: 2999 Douglas Blvd Ste. 350, Roseville, CA 95661
BD
CRD#: 5167
Roseville, CA
Past

February 16, 2017 - October 8, 2020

NWF ADVISORY SERVICES INC

RIA
CRD#: 110410
San Jose, CA
Past

June 11, 2015 - April 18, 2017

WHJR ASSOCIATES

RIA
CRD#: 113269
SAN JOSE, CA
Past

June 10, 2015 - June 12, 2015

OSAIC WEALTH, INC.

RIA
CRD#: 23131
SAN JOSE, CA
Past

June 10, 2015 - October 5, 2020

OSAIC WEALTH, INC.

BD
CRD#: 23131
SAN JOSE, CA
Past

September 22, 2011 - May 7, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN JOSE, CA
Past

September 22, 2011 - May 7, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN JOSE, CA
Past

January 3, 2011 - August 2, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SANTA CLARA, CA
Past

January 3, 2011 - August 2, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SANTA CLARA, CA
Past

July 9, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
CAMPBELL, CA
Past

June 22, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CAMPBELL, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(10/4/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/16/2013
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION

CRD#: 5167 / SEC#: , 8-15517

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NYLIFE LLC.SHAREHOLDER
BAGTAS, ANGELA CHENELECTED MANAGER8172856
BOCCIO, JOHN MICHAELCHIEF EXECUTIVE OFFICER AND PRESIDENT4600977
DUARTE, DEBORAH LYNNELECTED MANAGER6090278
ENGELBRECHTSEN, TOM DAHLCORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER2908809
FEINBERG, AMARYA NMNELECTED MANAGER8162482
HUANG, DYLAN WEIELECTED MANAGER AND CHAIRMAN6233208
LOFTUS, PATRICIA ELIZABETHCORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER2156131
SCHWARTZ, RACHEL SABRINAVICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL8170474
TILLOTSON, SANDRA GELECTED MANAGER7617600
VIRENDRA, SONALI NMNELECTED MANAGER2404467
ZAMAN, NABEEDVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6410914

Disclosures

Regulatory Event13
Arbitration7

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

NYLIFE SECURITIES LLC

CRD#: 5167Roseville, CA 95661

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