Thomas Le

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-10-02

TX RA
APPROVED

Since 2025-10-02

Branch Locations

19390 Ronald W Reagan Blvd, Georgetown, TX 78628 • United States

111 Congress Ave. 3Rd Fl, Ste 300 [Tt-Rbo], Austin, TX 78701 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank	Columbus	OH	06/2009	06/2022
J.P. Morgan Securities Llc	Columbus	OH	10/2012	06/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Austin	TX	08/2022	08/2024
Bank Of America, N.A.	Austin	TX	07/2024	06/2025
Wells Fargo Bank, Na	Georgetown	TX	06/2025	Present
Wells Fargo Clearing Services, Llc	Georgetown	TX	06/2025	Present

06/2009 → 06/2022

Jpmorgan Chase Bank

Columbus, OH
10/2012 → 06/2022

J.P. Morgan Securities Llc

Columbus, OH
08/2022 → 08/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Austin, TX
07/2024 → 06/2025

Bank Of America, N.A.

Austin, TX
06/2025 → Present

Wells Fargo Bank, Na

Georgetown, TX
06/2025 → Present

Wells Fargo Clearing Services, Llc

Georgetown, TX

Other Businesses

RENTAL PROPERTY ; INV RELATED; PFLUGERVILLE, TX; RENTAL;100% OWNERSHIP; START DATE: 09/24/2024; 1 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-10-01
S63	Uniform Securities Agent State Law Examination	2014-04-29

S65 Uniform Investment Adviser Law Examination

2025-10-01
S63 Uniform Securities Agent State Law Examination

2014-04-29