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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

TAM THI LE

Advisor at VALIC FINANCIAL ADVISORS, INC.

MODESTO, CA

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Search this name across graphsid dfx:ria:c5bf990c-870d-75fc-eca5-e4ea48d066a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2005 to Sep 14, 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: VALIC FINANCIAL ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 14, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 14, 2005
First registration: Nov 16, 2005
Dual registered: yes, broker-dealer
Other names: TAM LE|TAM THI LE|TAMMEE LE|TAMMI THI LE|TAMMEE T. LE|TAMMI T. LE|Tam Thi Le
IAPD individual key: 4634478

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
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 4, 2022	n/a	yes	MODESTO, CA	Current employment
PRIMERICA ADVISORS	National bd RIA	Mar 2, 2021	Nov 24, 2021	no	SANTA CLARA, CA	Previous registration
PEAK AMERICAN INVESTMENT ADVISORS, INC.	Independent wealth	Oct 29, 2020	Nov 13, 2020	no	Marina, CA\|PLANO, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 27, 2014	Apr 2, 2019	no	MONTEREY, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 12, 2007	Jul 21, 2014	no	CARMEL, CA\|NEWPORT BEACH, CA	Previous registration
M.L. STERN & CO., LLC.	n/a	Sep 19, 2006	Oct 12, 2006	no	CARMEL, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 16, 2005	Jun 20, 2006	no	SALINAS, CA\|SALINAS, CA	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
PRIMERICA ADVISORS	VALIC FINANCIAL ADVISORS, INC.	Nov 24, 2021	Jan 4, 2022	41	Firm change	Ibd to ibd
PEAK AMERICAN INVESTMENT ADVISORS, INC.	PRIMERICA ADVISORS	Nov 13, 2020	Mar 2, 2021	109	Firm change	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PEAK AMERICAN INVESTMENT ADVISORS, INC.	Apr 2, 2019	Oct 29, 2020	576	Firm change after gap	Wirehouse to RIA
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 21, 2014	Aug 27, 2014	37	Firm change	Wirehouse to wirehouse
M.L. STERN & CO., LLC.	WELLS FARGO ADVISORS	Oct 12, 2006	Jan 12, 2007	92	Firm change	Other
MORGAN STANLEY DW INC.	M.L. STERN & CO., LLC.	Jun 20, 2006	Sep 19, 2006	91	Firm change	Other

Relationships

Registered with (7)

→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: current employment
Jan 4, 2022 to presentfactForm ADV
→ PRIMERICA ADVISORSRegistered adviserregistration: previous registration
Mar 2, 2021 to Nov 24, 2021factForm ADV
→ PEAK AMERICAN INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Oct 29, 2020 to Nov 13, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 27, 2014 to Apr 2, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 12, 2007 to Jul 21, 2014factForm ADV
→ M.L. STERN & CO., LLC.Registered adviserregistration: previous registration
Sep 19, 2006 to Oct 12, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 16, 2005 to Jun 20, 2006factForm ADV

Dated events

No dated event names this entity yet.