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Rafael Huerta

Fidelity Brokerage Services LLC

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About Rafael Huerta

Rafael Huerta is a financial professional with over 20 years of experience in the financial services industry. Rafael is currently registered with Fidelity Brokerage Services LLC, which is a firm located in Westlake, Texas. Before joining Fidelity Brokerage Services LLC, Rafael worked for Fidelity Investments Institutional Services Company, Inc., ADP Broker-Dealer, Inc. and TD Waterhouse Investor Services, Inc. Rafael holds the Series 7, Series 63, Series 6TO, Series 24 and SIE licenses. Rafael is registered to provide investment advice in 53 states.

Firm Information

Rafael Huerta is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

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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Rafael Huerta’s Registration & Firm History

TX

01/03/2012 - Present

Fidelity Brokerage Services LLC (WESTLAKE TX)

RI

04/20/2006 - 01/03/2012

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

NJ

01/19/2005 - 03/31/2006

ADP BROKER-DEALER, INC. (ROSELAND NJ)

NE

08/18/1999 - 01/05/2005

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 08/25/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/20/2020

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/17/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Rafael Huerta.
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