Viet Quoc Le

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2020-12-04

CA RA
APPROVED

Since 2020-12-04

Branch Locations

12455 Central Ave, Chino, CA 91710 • United States

1910 W Main St, Alhambra, CA 91801 • United States

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Rosemead	CA	12/2015	11/2016
Wells Fargo Bank, Na	Alhambra	CA	07/2014	Present
Wells Fargo Clearing Services, Llc	Alhambra	CA	11/2016	Present

12/2015 → 11/2016

Wells Fargo Advisors Llc

Rosemead, CA
07/2014 → Present

Wells Fargo Bank, Na

Alhambra, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Alhambra, CA

Other Businesses

THE QVJA ENTERPRISE CORPORATION, NOT INV RELATED, EL MONTE, CA, MANAGER AND BOOKKEEPER, START 9/8/2021, 20 HOURS PER MONTH, ZERO HOURS DURING TRADING, PREPARING BALANCE SHEET AND MONTLY EXPENSE REPORTS FOR FAMILY AUTO RENTAL BUSINESS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-12-03
S63	Uniform Securities Agent State Law Examination	2016-02-17

S65 Uniform Investment Adviser Law Examination

2020-12-03
S63 Uniform Securities Agent State Law Examination

2016-02-17

Other Names

Viet Le
Viet Quoc Le
Quoc Viet Thien Kien Le

View on SEC IAPD