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Detailed Report
AARON JASON WERNER
CRD#: 4843116
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 301 North Lake Avenue
Suite 1150
Pasadena, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - Present (14 years)BHERITAGE FUND DISTRIBUTORS INC. (CRD# 139749)2006 - 2008 (1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2005 - 2007 (2 years)
Disclosure(s)
View By:
6/12/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/8/2010
B
New Mexico 7/29/2019
B
California 6/30/2010
B
New York 4/1/2021
IA
California 7/1/2010
B
North Carolina 8/9/2023
B
Colorado 6/30/2010
B
Oregon 8/1/2024
B
District of Columbia 8/14/2019
B
South Carolina 9/29/2021
B
Florida 6/30/2010
B
Tennessee 8/25/2022
B
Georgia 2/3/2014
B
Texas 11/22/2011
B
Idaho 12/10/2013
IA
Texas 12/7/2011
B
Michigan 5/9/2018
B
Utah 3/5/2014
B
Minnesota 2/11/2020
B
Virginia 9/30/2014
B
Montana 2/20/2014
B
Washington 7/8/2010
B
New Jersey 6/19/2017

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
TARZANA, CA
Registered with this firm since 7/1/2010
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
301 North Lake Avenue Suite 1150, Pasadena, CA 91101
TARZANA, CA
Registered with this firm since 6/30/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/14/2008 - 06/30/2010 STONNINGTON GROUP, LLC (CRD#:131221) PASADENA, CA
B
 02/14/2008 - 06/30/2010 STONNINGTON GROUP, LLC (CRD#:131221) PASADENA, CA
B
 10/13/2006 - 01/25/2008 HERITAGE FUND DISTRIBUTORS INC. (CRD#:139749) ST. PETERSBURG, FL
B
 08/29/2005 - 08/21/2007 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
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.