Trish Le

ALLSTATE FINANCIAL ADVISORS

Burlingame, CA 94010-4256

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CRD#: 6002689

Professional summary

Trish Le is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Burlingame, California and ALLSTATE FINANCIAL SERVICES, LLC located in Burlingame, California.

Trish is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Trish has worked at 8 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.

TRISH LE POSITION: Real Estate Sale Person NATURE: buying real estate transaction INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 40 START DATE: 05/15/2023 ADDRESS: 1970 Novus pl, COSTA MESA CA 92627, United States DESCRIPTION: yes ALLSTATE INSURANCE COMPANY (ALL CA INSURANCE AGENCY) POSITION: Owner NATURE: Sale of insurance including approved brokerage arrangements INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2022 ADDRESS: 1220 Howard Ave Ste 209, Burlingame CA 94010-4256, United States DESCRIPTION: Management of insurance agency

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trish 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

September 28, 2017 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 1220 Howard Ave Ste 209, Burlingame, CA 94010-4256

RIA

CRD#: 109524

Burlingame, CA

Current

September 28, 2017 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 1220 Howard Ave Ste 209, Burlingame, CA 94010-4256

CRD#: 18272

Burlingame, CA

Past

April 11, 2016 - February 7, 2017

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

Fountian Valley, CA

Past

April 8, 2016 - February 3, 2017

LPL FINANCIAL LLC

CRD#: 6413

FOUNTAIN VALLEY, CA

Past

April 7, 2014 - November 2, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

INDIAN WELLS, CA

Past

April 7, 2014 - November 2, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

INDIAN WELLS, CA

Past

April 19, 2013 - October 31, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BEVERLY HILLS, CA

Past

April 19, 2013 - October 31, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BEVERLY HILLS, CA

Past

April 4, 2012 - March 13, 2013

EDWARD JONES

RIA

CRD#: 250

FOUNTAIN VALLEY, CA

Past

February 8, 2012 - March 13, 2013

EDWARD JONES

CRD#: 250

FOUNTAIN VALLEY, 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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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
(9/28/2017)

IAR

California
(9/28/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/31/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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

Trish Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2012

SIE

Date: 10/1/2018

Series 7

Date: 2/7/2012

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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