Michael A. Huerta
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Anthony Huerta, who also goes by Michael Huerta, Mike Huerta, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1988. Michael had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2016 - October 11, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 21, 2014 - March 10, 2014
CALTON & ASSOCIATES, INC.
July 15, 2013 - January 20, 2014
SECURITIES AMERICA, INC.
October 1, 2012 - December 13, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 13, 2012
J.P. MORGAN SECURITIES LLC
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 21, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
January 24, 2003 - May 2, 2009
WAMU INVESTMENTS, INC.
December 12, 2001 - January 16, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 21, 1998 - March 20, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1994 - November 13, 1998
GRIFFIN FINANCIAL SERVICES
November 23, 1990 - March 4, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 23, 1988 - October 24, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
