Huy Do
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.
Huy Do, who also goes by Huy Do, was a registered financial professional .
Huy is a previously registered financial professional and started their career in finance in 2013. Huy had worked at 5 firms and has passed the Series 63, Series 66, Series 99TO, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2022 - October 31, 2024
CARTA CAPITAL MARKETS, LLC
August 19, 2020 - September 16, 2021
STOCKPILE INVESTMENTS, INC.
October 6, 2017 - March 31, 2020
BEACON POINTE WEALTH ADVISORS, LLC
August 5, 2013 - October 6, 2015
TD AMERITRADE, INC.
August 5, 2013 - October 6, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 26, 2013 - October 6, 2015
TD AMERITRADE, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CARTA CAPITAL MARKETS, LLC
CRD#: 304751 / SEC#: , 8-70396
Contact information
Documents
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.
