Carol Le
Carol Le is a registered investment advisor at First Citizens Investor Services, INC., based in Menlo Park, CA, with 5 years of industry experience. Carol is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 7,645 clients with $2.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 1.30% |
| $100K - $250K | 1.20% |
| $250K - $500K | 1.05% |
| $500K - $1.0M | 0.90% |
| $1M+ | 0.85% |
Fees represent maximum standard annual rates for primary programs and may vary based on account type and relationship size. Portfolio manager fees of up to 0.55% and tax-aware service fees of 0.053% may apply additionally in certain programs.
Fee Estimator
Location
2770 Sand Hill Rd., Menlo Park, CA, 94025
Get directionsHistory
Regulatory History (1)
Criminal
October 1999Other Business Activities
Carol works as a Relationship Advisor at SVB Wealth LLC, providing wealth management advice to clients since June 2022. This is a full-time position.
Employment History
Current Registrations
First Citizens Investor Services, INC.Broker
Svb Wealth
Previous Registrations
Svb Investment Services INC.
Svb Investment Services INC.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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