Bao Q Le

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-26

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Tdameritrade, Inc	Fort Worth	TX	05/2014	12/2017
Personal Capital Advisors Corporation	San Francisco	CA	12/2017	11/2019
Td Ameritrade, Inc	Frisco	TX	11/2019	01/2021
E*Trade Securities Llc	Dallas	TX	01/2021	05/2021
E*Trade Capital Management Llc	Dallas	TX	01/2021	05/2021
Td Ameritrade	Frisco	TX	05/2021	12/2022
Charles Schwab And Co., Inc.	Frisco	TX	12/2022	Present
Charles Schwab Bank Ssb	Frisco	TX	07/2024	Present

2021-05-11 → 2023-09-07

Td Ameritrade Investment Management, Llc

Frisco, TX
2021-05-11 → 2022-10-14

Td Ameritrade, Inc.

Frisco, TX

Omaha, NE
2021-01-14 → 2021-05-07

Harrisdirect Llc

Arlington, VA

Dallas, TX
2019-11-20 → 2021-01-11

Td Ameritrade, Inc.

Frisco, TX
2019-11-20 → 2020-12-31

Td Ameritrade Investment Management, Llc

Frisco, TX

Frisco, TX
2017-12-06 → 2019-11-01

Personal Capital Advisors Corporation

Frisco, TX

Greenwood Village, CO

Dallas, TX
2014-06-02 → 2017-12-04

Td Ameritrade, Inc.

Westlake, TX
2014-06-02 → 2017-12-04

Td Ameritrade Investment Management, Llc

Fort Worth, TX
2007-01-08 → 2014-04-08

Bny Mellon Securities Corporation

Frisco, TX

Redlands, CA

New York, NY

Charlotte, NC

Plano, TX

New York, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-10-20
S63	Uniform Securities Agent State Law Examination	1997-06-11

Other Firms