Carol Le

Current Employers

Svb Wealth

53 State Street 28Th Floor, Boston, MA 02109 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-06-29

CA RA
APPROVED

Since 2022-06-29

Branch Locations

2770 Sand Hill Rd., Menlo Park, CA 94025 • 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 No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Svb Wealth Advisory	Santa Clara	CA	10/2020	06/2022
Silicon Valley Bank	Santa Clara	CA	07/2015	03/2023
Svb Wealth Llc	Santa Clara	CA	06/2022	Present
Svb Investment Services Inc	Relationship Advisor	CA	06/2022	Present
First Citizens Investor Services	Raleigh	NC	12/2023	Present

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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-03-20

S66 Uniform Combined State Law Examination

2021-03-20

View on SEC IAPD

Current Employers

Svb Wealth

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

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