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Quan Anh Le

Rockside Investments LLC

Westminster, CA

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Current Employers
Rockside Investments Llc

Westminster, CA • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2024-08-15
CA RA APPROVED 2021-04-27
  • LA RA
    APPROVED
    Since 2024-08-15
  • CA RA
    APPROVED
    Since 2021-04-27

Branch Locations

Westminster, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rockside Investments Llc Westminster CA 04/2021 Present
Valero Energy Corporation Wilmington CA 02/1993 11/2025
Rockside Investments Llc Westminster CA 09/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-26
  • S65 Uniform Investment Adviser Law Examination
    2020-10-26
Other Names
  • Quan Le

View on SEC IAPD

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