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RIA / WealthAdvisor20 years in industrynot currently registered

Phong Khanh Le

Advisor at WILLIS TOWERS WATSON SECURITIES, LLC

CHICAGO, IL | Richardson, TX

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Search this name across graphsid dfx:ria:8862f1c9-4632-cfc6-e38b-c744d0ca1494

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 0
Dated events: 2
On other graphs: 0
Observed: Jun 1, 2015 to Sep 18, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WILLIS TOWERS WATSON SECURITIES, LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 6, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jul 6, 2006
First registration: Jun 1, 2015
Dual registered: no
Other names: PHONG KHANH LE|PHONG LE
IAPD individual key: 4777304

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WILLIS TOWERS WATSON SECURITIES, LLC	Former SEC adviser	Sep 17, 2026	n/a	yes	CHICAGO, IL\|Richardson, TX	Current employment
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Aug 25, 2022	Apr 1, 2025	no	Plano, TX	Previous registration
CALLAWAY FINANCIAL SERVICES	State registered	May 17, 2016	Jul 6, 2020	no	ARLINGTON, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 1, 2015	Feb 9, 2016	no	RICHARDSON, TX\|GARLAND, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VANGUARD ADVISERS, INC.	WILLIS TOWERS WATSON SECURITIES, LLC	Apr 1, 2025	Sep 17, 2026	534	Firm change after gap	Ibd to new firm
CALLAWAY FINANCIAL SERVICES	VANGUARD ADVISERS, INC.	Jul 6, 2020	Aug 25, 2022	780	Firm change after gap	Other
J.P. MORGAN SECURITIES LLC	CALLAWAY FINANCIAL SERVICES	Feb 9, 2016	May 17, 2016	98	Firm change	Wirehouse to state RIA

Relationships

No published relationship touches this entity yet.

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Show 2 bookkeeping events

First seen by DFX
Sep 19, 2026
date not stated
Phong Khanh Le no longer holds an investment adviser registration (last listed at Willis Towers Watson Securities, Llc on the 2026-09-18 feed)
Occurred
Sep 17, 2026
Phong Khanh Le registered as an investment adviser representative at Willis Towers Watson Securities, Llc