Eric Le is a CFA-designated registered investment advisor, based in Raleigh, NC, with 2 years of industry experience. Eric is also registered as a broker, so some compensation may come from commissions on products sold.
Location
1500 Sunday Drive, Suite 300, Raleigh, NC, 27607
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Dai Securities, LLCBroker
March 2026 - Present · 7 mos
Prosperity - an Eisneramper Company
March 2026 - Present · 7 mos
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
May 2024 - February 2026 · 1 yr 9 mos
Charles Schwab & CO., INC.Broker
April 2023 - July 2023 · 3 mos
State Registrations1 state
NC
AdvisorBrokerBoth
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
No exam information available for this advisor.
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