Valerie Ngoc-van Lee

Current Employers

Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-03-03
NV	RA	APPROVED	2025-03-03
TX	RA	APPROVED	2025-03-03

CA RA
APPROVED

Since 2025-03-03
NV RA
APPROVED

Since 2025-03-03
TX RA
APPROVED

Since 2025-03-03

Branch Locations

Las Vegas, NV • 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

Organization	City	State	From	To
New York Life	Glendale	CA	07/2022	10/2024
Alpha Pack	Jeffersonville	IN	09/2019	06/2022
Unik	Los Angeles	CA	04/2009	08/2019
Unemployed	Henderson	NV	10/2024	02/2025
Lpl Enterprise Llc	Sherman Oaks	CA	03/2025	Present

07/2022 → 10/2024

New York Life

Glendale, CA
09/2019 → 06/2022

Alpha Pack

Jeffersonville, IN
04/2009 → 08/2019

Unik

Los Angeles, CA
10/2024 → 02/2025

Unemployed

Henderson, NV
03/2025 → Present

Lpl Enterprise Llc

Sherman Oaks, CA

Other Businesses

1. 02/18/2025 - Rental Property - Real Estate Rental - INV REL - Encino, CA - 04/01/2016 - 1hr/MTH 2. 02/18/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Henderson, NV - 02/13/2025 - 160hrs/MTH 3. 02/18/2025 - N/A - Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Henderson, NV - 02/13/2025 - 160hrs/MTH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-01-16
S63	Uniform Securities Agent State Law Examination	2022-12-14

S65 Uniform Investment Adviser Law Examination

2025-01-16
S63 Uniform Securities Agent State Law Examination

2022-12-14

Other Names

Valerie La
Van La

View on SEC IAPD