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Jon Marcial Huerta

Guggenheim Securities, LLC

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About Jon Marcial Huerta

Jon Huerta is a securities professional with over 23 years of experience in the industry. Jon Huerta currently works at Guggenheim Securities, LLC, a firm based in NEW YORK, NY. Jon Huerta's current registrations include a Series 7, Series 63 and Series 24. Jon Huerta has held previous roles at RBC Capital Markets, LLC, Macquarie Capital (USA) Inc., BANC OF AMERICA SECURITIES LLC, BEAR, STEARNS & CO. INC. and Weston Capital Markets Inc.

Firm Information

Jon Huerta is currently registered with Guggenheim Securities, LLC. Guggenheim Securities, LLC is a Limited Liability Company formed in January 1999. The firm is registered with the SEC and all 50 states, as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

107

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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Jon Huerta’s Registration & Firm History

NY

03/30/2017 - Present

Guggenheim Securities, LLC (NEW YORK NY)

NY

01/10/2017 - 04/18/2017

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

04/21/2010 - 12/23/2016

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

05/15/2009 - 02/16/2010

MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)

NY

06/09/2004 - 05/04/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

08/28/2001 - 06/04/2004

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

08/11/2000 - 08/14/2000

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

01/22/1998 - 02/02/2000

WESTON CAPITAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/06/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/12/2016

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Jon Marcial Huerta.
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