Mai N. Le
Professional summary
Mai Ngoc Le, who also goes by Mai Ngoc Le, is a registered financial professional currently at JEFFERIES LLC located in New York, New York.
Mai is registered as a RR (Registered Representative) and started their career in finance in 2016. Mai has worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO, Series 86, Series 87, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mai Ngoc Le's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2025 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022May 10, 2019 - August 2, 2021
BOFA SECURITIES, INC.
November 22, 2016 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/25/2025)
(3/31/2025)
Exams
Series 79TO
Date: 3/10/2025
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 3/27/2024
General Securities Representative ExaminationFINRA
Current Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
Red Flags
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