Quan A. Le

ROCKSIDE INVESTMENTS LLC

Westminster, CA

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CRD#: 7300885

Professional summary

Quan Anh Le, who also goes by Quan Le, is a registered financial advisor currently at ROCKSIDE INVESTMENTS LLC located in Westminster, California.

Quan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Quan has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Quan 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.

Project Management, Valero Energy Corporation. Non-investment related. 02/1993 to Present. 40 hrs. per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Quan Anh 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®

None

Experience

Current

April 27, 2021 - Present

ROCKSIDE INVESTMENTS LLC

RIA

CRD#: 310511

Westminster, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(4/27/2021)

IAR

Louisiana
(8/15/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/26/2020

Uniform Investment Adviser Law Examination

Current Firm

ROCKSIDE INVESTMENTS LLC

ROCKSIDE INVESTMENT LLC | ROCKSIDE INVESTMENTS LLC

CRD#: 310511 / SEC#:

California

Registered Investment Advisory firm - (4/27/2021 Approved)

Louisiana

Registered Investment Advisory firm - (8/15/2024 Approved)

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Contact information

Main Address

Westminster, CA

Mailing Address

Phone number

(714) 391-2546

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 6,374,709

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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Quan A. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ROCKSIDE INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2020

Current Firm

ROCKSIDE INVESTMENTS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCKSIDE INVESTMENTS LLC

TRUST BUT VERIFY

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