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Lewis D Le

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Newport Beach, CA

Fountain Valley, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2015-12-11
CA RA APPROVED 2011-10-11
  • TX RA
    APPROVED
    Since 2015-12-11
  • CA RA
    APPROVED
    Since 2011-10-11

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

520 Newport Center Dr, Newport Beach, CA 92660 • United States

Fountain Valley, CA • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 09/2011 Present
Bank Of America, N.A. Newport Beach CA 11/2011 Present
Previous Registrations
  • 2008-10-20 → 2010-02-08
    Wells Fargo Investments, Llc
    Santa Ana, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-18
  • S66 Uniform Combined State Law Examination
    2008-10-18
Other Names
  • Lewis Duy-Tan Le

View on SEC IAPD

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