Vien H. Le

STERN BROTHERS & CO.

Dallas, TX

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CRD#: 5881104

Professional summary

Vien Hoai Le is a registered financial professional currently at STERN BROTHERS & CO. located in Dallas, Texas.

Vien is registered as a RR (Registered Representative) and started their career in finance in 2011. Vien has worked at 5 firms and has passed the Series 63, SIE, Series 50 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vien Hoai 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

January 17, 2024 - Present

STERN BROTHERS & CO.

CRD#: 16325

Dallas, TX

Past

June 3, 2021 - June 22, 2023

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

LOS ANGELES, CA

Past

October 20, 2017 - May 11, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Los Angeles, CA

Past

December 6, 2013 - April 5, 2017

SAMUEL A. RAMIREZ & COMPANY, INC.

CRD#: 6963

LOS ANGELES, CA

Past

February 1, 2011 - April 25, 2012

LOOP CAPITAL MARKETS LLC

CRD#: 43098

LOS ANGELES, CA

State Registrations and Notice Filings

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

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

California
(1/17/2024)

Missouri
(1/17/2024)

Exams

State Security Law Exam

Series 63

Date: 3/14/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 7/27/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 52

Date: 1/31/2011

Municipal Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STERN BROTHERS & CO.

BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Mailing Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Phone number

(314) 727-5519

Established

Missouri since 01/25/1985

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED	TRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012	TRUST
CLEMENTS, DONALD SIDNEY	CHIEF TECHNOLOGY OFFICER	4440518
ESSERT, GLENN EDWARD	CHIEF COMPLIANCE OFFICER, AMLCO	1447868
FINN, PEGGY PRINCE	CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE	730640
FINN, TERRENCE MICHAEL	PRESIDENT, DIRECTOR	1102166
MIRIANI, JASON ANDREW	CFO, TREASURER	4547660
WARREN, KAREN KAY	PRINCIPAL OPERATIONS OFFICER	1316200

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Vien H. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vien Hoai Le's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABRERA CAPITAL MARKETS, LLC

UBS FINANCIAL SERVICES INC.

SAMUEL A. RAMIREZ & COMPANY, INC.

LOOP CAPITAL MARKETS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/2011

SIE

Date: 10/1/2018

Series 50

Date: 7/27/2017

Series 52

Date: 1/31/2011

FINRA

Current Firm

STERN BROTHERS & CO.

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STERN BROTHERS & CO.

TRUST BUT VERIFY

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