Cindy Han Le

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 03/2000 → 09/2022
  Wells Fargo Bank Na
  San Diego, CA
• 04/2013 → 11/2016
  Wells Fargo Advisors Llc
  San Diego, CA
• 11/2016 → 09/2022
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 09/2022 → Present
  San Diego County C U
  San Diego, CA
• 11/2023 → Present
  Lpl
  San Diego, CA

Previous Registrations

• 2013-09-05 → 2022-10-04
  Wells Fargo Clearing Services, Llc
  San Diego, CA
  San Diego, CA
  San Diego, CA

Other Businesses

1) 11/2023 - SDCCU Investment Services - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 11/2023 - San Diego Country Credit Union - Financial Institution Duty - Inv. Related - San Diego, CA - Regional Manager - Start Date 09/28/2022 - 160hrs/month - 100% time spent

Exams

• S66 Uniform Combined State Law Examination
  2013-09-05

Other Names

• Han Ngoc Le
• Cindy H Le