CL
Carol Le
SVB WEALTH
Menlo Park, CA 94025
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CRD#: 7302712
CL
Professional summary
Carol Le is a registered financial advisor currently at SVB WEALTH located in Menlo Park, California and FIRST CITIZENS INVESTOR SERVICES, INC. located in Menlo Park, California.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Carol has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.
SVB Wealth LLC-Investment Related- Position is Relationship Advisor; Started 06/2022; FTE employee; Provide wealth management advise to SVBW clients.
CRS (Client Relationship Summary) - RIA
Click below to view Carol 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
June 28, 2022 - Present
SVB WEALTH
Office #1: 2770 Sand Hill Rd., Menlo Park, CA 94025RIA
CRD#: 172832
Menlo Park, CA
Current
December 26, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2770 Sand Hill Rd, Menlo Park, CA 94025RIA
BD
CRD#: 44430
Menlo Park, CA
Past
April 19, 2021 - July 29, 2022
SVB INVESTMENT SERVICES INC.
RIA
CRD#: 168116
Santa Clara, CA
Past
February 2, 2021 - December 31, 2023
SVB INVESTMENT SERVICES INC.
BD
CRD#: 168116
Santa Clara, 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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 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.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
IAR
Arizona(7/8/2022)
IAR
California(6/29/2022)
RR
California(12/26/2023)
IAR
Colorado(6/29/2022)
IAR
Georgia(6/29/2022)
IAR
Idaho(6/28/2022)
IAR
Illinois(7/6/2022)
IAR
Montana(6/29/2022)
IAR
Texas(7/5/2022)
IAR
Virginia(6/29/2022)
IAR
Washington(6/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
Red Flags
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Company Information
SVB WEALTH
CRD#: 172832Menlo Park, CA 94025TRUST BUT VERIFY
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