An Le

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-08-21
TX	RA	APPROVED	2025-03-31

Branch Locations

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

Organization	City	State	From	To
Jpmorgan Chase Bank, N.A.	Cypress	TX	10/2019	03/2022
J.P. Morgan Securities Llc	Katy	TX	10/2019	03/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Houston	TX	05/2019	10/2019
Valic Financial Advisors, Inc	Lakewood	CO	06/2017	02/2019
Mml Investors Services, Llc	Greenwood Village	CO	03/2017	06/2017
Msi Financial Services, Inc	Greenwood Village	CO	08/2016	03/2017
Bank Of America	Houston	TX	05/2019	10/2019
Valic	Lakewood	CO	06/2017	02/2019
Centennial State Financial Mass Mutual Group	Greenwood Village	CO	08/2016	06/2017
Unemployed	Houston	TX	03/2019	04/2019
At&T	Denver	CO	12/2016	06/2017
Fidelity Investments	Westlake	TX	03/2022	Present
Fidelity Investments	Boston	MA	03/2025	Present

10/2019 → 03/2022

Jpmorgan Chase Bank, N.A.

Cypress, TX
10/2019 → 03/2022

J.P. Morgan Securities Llc

Katy, TX
05/2019 → 10/2019

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX
06/2017 → 02/2019

Valic Financial Advisors, Inc

Lakewood, CO
03/2017 → 06/2017

Mml Investors Services, Llc

Greenwood Village, CO
08/2016 → 03/2017

Msi Financial Services, Inc

Greenwood Village, CO
05/2019 → 10/2019

Bank Of America

Houston, TX
06/2017 → 02/2019

Valic

Lakewood, CO
08/2016 → 06/2017

Centennial State Financial Mass Mutual Group

Greenwood Village, CO
03/2019 → 04/2019

Unemployed

Houston, TX
12/2016 → 06/2017

At&T

Denver, CO
03/2022 → Present

Fidelity Investments

Westlake, TX
03/2025 → Present

Fidelity Investments

Boston, MA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-04-29