Vuong H Le
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
10 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Bank of America, N.A.Apr 2025 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 2025 to now
- J.P. Morgan Securities LLCApr 2022 to Feb 2025
- JPMorgan Chase Bank, N.A.Apr 2022 to Feb 2025
- UnemployedNov 2021 to Mar 2022
- U.S. BankJan 2020 to Oct 2021
- Wells FargoNov 2018 to Dec 2019
- Wal-martOct 2018 to Nov 2018
- UnemployedAug 2018 to Sep 2018
- Bank of AmericaNov 2016 to Jul 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 65 · Uniform Investment Adviser Law2024
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7542964
- Firm CRD
- 7691