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Diep Hoang Ba Le

Morgan Stanley

Riverside, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-02-19
CA RA APPROVED 2018-04-12
  • TX RA
    APPROVED
    Since 2020-02-19
  • CA RA
    APPROVED
    Since 2018-04-12

Branch Locations

3750 University Avenue Suite 600, Riverside, CA 92501 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation Redlands CA 07/2015 10/2017
Morgan Stanley Smith Barney Llc Riverside CA 04/2018 Present
Unemployed Riverside CA 10/2017 04/2018
Morgan Stanley Private Bank, N.A New York NY 05/2018 Present
  • 07/2015 → 10/2017
    National Planning Corporation
    Redlands, CA
  • 04/2018 → Present
    Morgan Stanley Smith Barney Llc
    Riverside, CA
  • 10/2017 → 04/2018
    Unemployed
    Riverside, CA
  • 05/2018 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-09
S63 Uniform Securities Agent State Law Examination 2005-09-09
  • S65 Uniform Investment Adviser Law Examination
    2018-05-09
  • S63 Uniform Securities Agent State Law Examination
    2005-09-09
Designations

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC
EDWARD JONES
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

Dennis D Egizi
Damian MICHAEL Brown
SCOTT MICHAEL ROBSON
SCOTT JAMES MCINTIRE
SALOMON GONZALEZ
JESSICA LYNN LUNDQUIST
Rita N Pichardo
JERRY QUARTEY PAPAFIO

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RIVERSIDE, CA
CETERA INVESTMENT ADVISERS LLC · Riverside, CA
UBS FINANCIAL SERVICES INC. · RIVERSIDE, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RIVERSIDE, CA
EDWARD JONES · RIVERSIDE, CA
LPL FINANCIAL LLC · RIVERSIDE, CA
WELLS FARGO CLEARING SERVICES, LLC · RIVERSIDE, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Riverside, CA

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