Thien Le

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2019 → 05/2020
  Nylife Securities Llc
  Schaumburg, IL
• 09/2019 → 05/2020
  New York Life Insurance Company
  Schaumburg, IL
• 12/2018 → 08/2019
  Unemployed
  Chicago, IL
• 11/2012 → 11/2018
  Ninjatrader Brokerage
  Chicago, IL
• 09/2020 → 04/2023
  Jpmorgan Chase Bank, N.A.
  Auburn, CA
• 09/2020 → 04/2023
  J.P. Morgan Securities Llc
  Auburn, CA
• 06/2020 → 08/2020
  Unemployed
  Antelope, CA
• 05/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Saint Louis, MO
• 05/2023 → 07/2024
  California Department Of Corrections And Rehabilitation
  Folsom, CA
• 08/2024 → 04/2025
  Unemployed
  St. Louis, MO
• 07/2025 → Present
  Bank Of America, N.A.
  Saint Louis, MO

Exams

• S66 Uniform Combined State Law Examination
  2025-07-16
• S63 Uniform Securities Agent State Law Examination
  2020-10-30

Other Names

• Thien Le
• Thien Vy Le