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Detailed Report
VERONICA HERRERA AGUIRRE
VERONICA AGUIRRE HERRERA, VERONICA AGUIRRE VALDEZ
CRD#: 2506533
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 301 North Lake Avenue
Suite 1150
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2006 (8 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2020 (11 years)2 FIRMS2020 - Present (4 years)
License(s)

State Registrations

B
California 5/4/2020
B
Utah 1/26/2024
IA
California 5/5/2020
B
Wisconsin 8/23/2023
B
Oregon 1/27/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
301 North Lake Avenue Suite 1150, Pasadena, CA 91101
SYLMAR, CA
Registered with this firm since 5/5/2020
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
301 North Lake Avenue Suite 1150, Pasadena, CA 91101
SYLMAR, CA
Registered with this firm since 5/4/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/03/2009 - 04/28/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOS ANGELES, CA
B
 01/30/2009 - 04/28/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOS ANGELES, CA
IA
 05/19/2008 - 02/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 05/15/2008 - 02/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
IA
 07/08/1997 - 07/25/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 08/19/1997 - 07/25/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.