Eric V. Le

PROSPERITY - AN EISNERAMPER COMPANY

Raleigh, NC 27607

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CRD#: 7655061

Professional summary

Eric Van Le, who also goes by Eric Le, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Raleigh, North Carolina and DAI SECURITIES, LLC located in Raleigh, North Carolina.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Eric has worked at 4 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Van 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

March 11, 2026 - Present

PROSPERITY - AN EISNERAMPER COMPANY

Office #1: 1500 Sunday Drive Suite 300, Raleigh, NC 27607

RIA

CRD#: 133777

Raleigh, NC

Current

March 26, 2026 - Present

DAI SECURITIES, LLC

Office #1: 1500 Sunday Dr Suite 300, Raleigh, NC 27607

CRD#: 36673

RALEIGH, NC

Past

May 8, 2024 - February 13, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LAKEWOOD, CO

Past

April 13, 2023 - July 7, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

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".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

North Carolina
(3/11/2026)

North Carolina
(3/26/2026)

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

Series 63

Date: 4/24/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/13/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/15/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

PREMIUM

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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Eric V. Le

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PROSPERITY - AN EISNERAMPER COMPANY

DAI SECURITIES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 4/24/2023

Series 7TO

Date: 4/13/2023

SIE

Date: 2/15/2023

FINRA

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

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