Bryan Le
San Jose,CA
Summary
Dedicated, results-driven, and self-motivated financial consultant with 20 years of experience in providing comprehensive financial services focusing on relationship management, investments, and equity compensation. Skilled communicator who puts complex financial topics in clear terms for diverse clients. Proven track record of guiding clients towards their financial goals through strategic investment strategies and personalized wealth management.
Overview
20
20
years of professional experience
Work History
Financial Consultant
Fidelity Investments
02.2024 - Current
- Assisted walk-in traffic with identifying financial needs and goals to provide customized solutions.
- Developed personal rapport with each client to maintain customer loyalty and establish long-term accounts.
- Reviewed existing client portfolios, identifying opportunities for diversification and risk mitigation.
- Educated clients on various investment options, empowering them to make informed decisions about their finances.
- Assisted clients during major life events, such as retirement planning or wealth transfer, preserving financial stability throughout transitions.
- Implemented tax-smart strategies for clients, maximizing returns and minimizing liabilities.
- Increased client satisfaction by providing personalized financial advice and investment recommendations.
- Prepared detailed reports analyzing portfolio performance against established goals, ensuring transparency and accountability to stakeholders.
- Leveraged technology to optimize data analysis capabilities, enhancing the accuracy of investment recommendations provided to clients.
- Developed and maintained strong relationships with clients to maximize satisfaction.
- Book built from scratch to over 250 House hold in a 12 months period.
- Net new asset flow of over 22 Million from January to April of 2025 with 75% conversion rate.
Executive Relationship Manager
Morgan Stanley at Work
01.2023 - Current
- Responsible for retention and growth of E
- TRADE and Morgan Stanley Stock plan executive participants by providing personalized support surrounding the client’s financial goals and equity compensation plans.
- Implemented targeted referrals to Morgan Stanley Financial Advisors for holistic planning and specific product needs.
- Provided ongoing financial education to clients regarding ESPP, RSUs, and stock options, fostering a deep understanding of their investment strategies.
- Consistently met or exceeded performance targets, contributing to the overall success of the team.
Financial Consultant
E*TRADE from Morgan Stanley
01.2017 - 01.2023
- Built, retained, and grew a book of business through relationship management.
- Managed account sales by developing and implementing customized investment plans aligned with clients’ risk tolerance and objectives.
- Demonstrated a strong track record in retaining high-value clients by uncovering and gathering outside assets through E
- Trade’s resources, relationship management and promotions, resulting in being consistently recognized as a top 25 asset gatherer 2 years in a row.
- Established a reputation for exceeding client expectations, resulting in a high rate of client referrals.
- Collaborated with senior advisors and a team of experts to optimize clients’ financial strategies and ensure compliance with industry regulations.
- Facilitated in person and virtual client meetings, addressing inquiries and providing updates on portfolio performance.
- Monitored and adjusted portfolios to ensure they remained in line with market trends and clients’ evolving needs.
Regional Private Banker
Wells Fargo Bank, Wells Fargo Clearing Services
01.2005 - 01.2017
- Tended to highly affluent client’s full-service banking needs.
- Identified investment needs through relationship building with clients and sent referrals to Financial Advisors.
- Earned the title of top referrer in Q3 & Q4 in 2016.
- Managed sales and operations for the largest branch in San Jose, CA.
- Effectively handled customers’ complaints and escalations, listening to customer issues, and providing empathetic and timely responses.
- Demonstrated exceptional leadership skills by providing ongoing support and coaching to employees, contributing to their professional development and career advancement.
Skills
- Series 7, 66, 63, 6
- Stock Plan (ESPP, RSU, Stock Options, 10b5-1 Plan)
- Book Management, sales, retention
- Referrals to other business units
- Compliance
- Risk assessment and management
- Strong communication and interpersonal skills
- Extensive knowledge of investment solutions
- Retirement planning
- Investment strategies
- Tax planning
- Portfolio review
Languages
English
Vietnamese
Timeline
Financial Consultant
Fidelity Investments
02.2024 - Current
Executive Relationship Manager
Morgan Stanley at Work
01.2023 - Current
Financial Consultant
E*TRADE from Morgan Stanley
01.2017 - 01.2023
Regional Private Banker
Wells Fargo Bank, Wells Fargo Clearing Services
01.2005 - 01.2017
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