ML
Minh T. Le
NORTH CAPITAL
Salt Lake City, UT 84047
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CRD#: 6625932
ML
Professional summary
Minh Thuan Le, who also goes by Minh Thuan Le, is a registered financial advisor currently at NORTH CAPITAL located in Salt Lake City, Utah and NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.
Minh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Minh has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Minh Thuan 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.
(1) NORTH CAPITAL INVESTMENT TECHNOLOGY INC. (NCIT) CO-LOCATED WITH THE MEMBER FIRM. . NOT INVESTMENT-RELATED. DE CORP. HOLDS CERTAIN INTELLECTUAL PROPERTY ASSETS OF NORTH CAPITAL GROUP COMPANIES ALONG WITH THE COMMON EQUITY OF NORTH CAPITAL PRIVATE SECURITIES CORP. NORTH CAPITAL, INC., A NEVADA CORP. CO-LOCATED WITH THE MEMBER FIRM. INVESTMENT-RELATED. NORTH CAPITAL INC. IS A REGISTERED INVESTMENT ADVISOR PROVIDING FEE-ONLY FINANCIAL PLANNING AND INVESTMENT MANAGEMENT SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Minh Thuan Le's 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®
NoneExperience
Current
July 16, 2024 - Present
NORTH CAPITAL
Office #1: 623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047RIA
CRD#: 148802
Salt Lake City, UT
Current
June 14, 2016 - Present
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047BD
CRD#: 154559
Salt Lake City, UT
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".
NC
NORTH CAPITAL
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS
CRD#: 148802 / SEC#: 801-110598
RIA
Registered Investment Advisory firm - (5/17/2017 Approved)California
Registered Investment Advisory firm - (7/2/2017 Terminated)Utah
Registered Investment Advisory firm - (6/2/2017 Terminated)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.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
Utah(6/14/2016)
IAR
Utah(7/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 11/26/2019
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NC
NORTH CAPITAL
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS
CRD#: 148802 / SEC#: 801-110598
RIA
Registered Investment Advisory firm - (5/17/2017 Approved)California
Registered Investment Advisory firm - (7/2/2017 Terminated)Utah
Registered Investment Advisory firm - (6/2/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047
Mailing Address
Phone number
888-625-7768 X1
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 642 |
| AUM (Assets Under Management) | $ 292,582,491 |
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.
