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Carlos David Huerta

ING Financial Markets LLC

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About Carlos David Huerta

Carlos Huerta is a financial professional with over 23 years of experience in the financial services industry. Carlos is currently registered with ING Financial Markets LLC in New York, New York. Carlos has held previous registrations with Dresdner Kleinwort Securities LLC, Deutsche Bank Securities Inc. and PaineWebber Incorporated. Carlos holds the Series 7, Series 63, Series 99TO and SIE licenses.

Firm Information

Carlos Huerta is currently registered with ING Financial Markets LLC. ING Financial Markets LLC is a Limited Liability Company formed in November 1995 and is registered in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been approved for SEC registration and has reported 10 Regulatory Events.

Not reported

Assets Under Management

Not reported

Total Clients

40

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carlos Huerta’s Registration & Firm History

NY

05/24/2010 - Present

ING Financial Markets LLC (NEW YORK NY)

NY

09/18/2007 - 08/19/2009

DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)

NY

07/26/2000 - 08/22/2007

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NJ

01/01/1998 - 08/27/1999

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 01/16/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/24/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Carlos David Huerta.
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