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10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-08-03 |
Branch Locations
7 Giralda Farms Suite 300, Madison, NJ 07940 • United States
10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States
7 Giralda Farms Suite 300, Madison, NJ 07940 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-03-22 |
Branch Locations
7 Giralda Farms Suite 300, Madison, NJ 07940 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Florham Park | NJ | 08/2013 | 03/2021 |
| Transcend Capital Advisors, Llc | Short Hills | NJ | 03/2021 | 08/2026 |
| Purshe Kaplan Sterling Investments, Inc. | Short Hills | NJ | 03/2021 | Present |
| Arax Advisory Partners | Madison | NJ | 08/2026 | Present |
1)Hoa Le is dually-registered with Arax Advisory Partners and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Ms. Le has served as a registered representative with PKS since 03/2021. Business is conducted from the Registered Branch Office location. Approximately 90% of Ms. Le's time is for services as an investment advisor representative and the balance as a registered representative.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-04-18 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-24 |
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