Carol Le

Employer firm

Svb Wealth CRD 172832

$3.10B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 10/2020 → 06/2022
  Svb Wealth Advisory
  Santa Clara, CA
• 07/2015 → 03/2023
  Silicon Valley Bank
  Santa Clara, CA
• 06/2022 → Present
  Svb Wealth Llc
  Santa Clara, CA
• 06/2022 → Present
  Svb Investment Services Inc
  Relationship Advisor, CA
• 12/2023 → Present
  First Citizens Investor Services
  Raleigh, NC

Previous Registrations

• 2021-04-19 → 2022-07-29
  Svb Investment Services Inc.
  San Francisco, CA
  Santa Clara, CA

Other Businesses

SVB Wealth LLC-Investment Related- Position is Relationship Advisor; Started 06/2022; FTE employee; Provide wealth management advise to SVBW clients.

Exams

• S66 Uniform Combined State Law Examination
  2021-03-20