AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CH

Carlos J. Herrera

Some features on this profile are disabled
CRD#: 6226937
CH

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.

Carlos J Herrera was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 2017. Carlos had worked at 2 firms and has passed the Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Carlos J. Herrera is not engaged in any other investment-related business or activity. Carlos is the Co-Founder and Director of AzuCap Research Corp., a Canadian data analytics and economic research consultancy. In this capacity, he may support project-based work involving economic assessments, data analysis, and the development of data-driven solutions and strategies. When such work arises, it is limited to non-U.S. trading hours and typically requires approximately 5 hours per month. In addition, Carlos may work as an adjunct professor, teaching courses or seminars related to economics and finance. Teaching time varies by engagement but may require 4 hours per month (outside of non-U.S. trading hours) for teaching. He may also engage in independent consulting related to finance, technology, data, digital assets, or economics, but never in investment-related activities, and only when not actively supporting AzuCap Research Corp. Teaching or consulting time varies by engagement but may require 7-8 hours per month for teaching (with fewer hours if teaching less frequently than once per week) and 5-6 hours per month for consulting. All such activities are limited to non-U.S. trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 25, 2025 - June 10, 2025

AZURION CAPITAL

RIA
CRD#: 332174
WATERLOO,
Past

April 10, 2017 - April 20, 2022

MDB CAPITAL

BD
CRD#: 42677
MANAGUA,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/24/2024
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/2017
General Securities Representative Examination

Current Firm

AC
AZURION CAPITAL
AZURION CAPITAL | AZURION CAPITAL LLC

CRD#: 332174 / SEC#:

Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Washington, DC
Mailing Address
4315 50th St. Nw Ste 100 Unit 2552, Washington, DC 20016
Phone number
(301) 215-3492
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV
0

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.

Company Information

AZURION CAPITAL

CRD#: 332174

TRUST BUT VERIFY

Monitor Carlos Herrera

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics