Ann Herrero has been an investment adviser representative at Lansdowne Wealth Management since March 2025, and is not listed among the firm’s executive officers or direct owners.
Lansdowne Wealth Management, LLC is a Mystic, CT firm with $228M under management, 357 clients and 6 advisers in one office, as of its March 2026 filing.
Ann Herrero’s longest registration was 4 years at Edward Jones (2011–2015). Before joining Lansdowne Wealth Management in 2025, Ann Herrero was registered through Ameriprise Financial Services, LLC and Edward Jones.
- – present · 1 yearMystic, CT · Adviser representative · Firm CRD 155422
- Dunhill FinancialAlso current– present · 1 yearLondon · Adviser representative · Firm CRD 288211
- Ameriprise Financial Services, LLC– · 3 yearsPleasantville, NY · Adviser representative · Firm CRD 6363
- Edward Jones– · 4 yearsChappaqua, NY · Adviser representative · Firm CRD 250
- Morgan Stanley Smith Barney LLC– · 1 yearStamford, CT · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 1 yearStamford, CT · Adviser representative · Firm CRD 8209
- UBS Financial Services Inc.– · 2 yearsStamford, CT · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Ann Herrero is registered as an investment adviser representative in 4 states. The first approvals date from November 2024; the most recent is Florida, in February 2026.
- ConnecticutSince 21 March 2025
- FloridaSince 11 February 2026
- New YorkSince 12 November 2024
- TexasSince 21 March 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 24 November 2009 |
| Series 66 | Uniform Combined State Law Examination | 11 January 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 28 December 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 December 1998 |
| Series 7 | General Securities Representative Examination | 7 December 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Ann Lucy Herrero
- CRD
- 3156939
- Firm
- Lansdowne Wealth Management · CRD 155422
- Office
- 34 WATER STREET, UNIT 2A, Mystic, CT 06355
- Registration
- Investment adviser registration
- In the industry since
- June 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Ann Herrero work?
Ann Herrero is an investment adviser representative registered through Lansdowne Wealth Management, LLC since March 2025, and is not listed among the firm’s executive officers or direct owners.
Is Ann Herrero a financial advisor?
Yes. Ann Herrero has a current investment-adviser registration in Connecticut, Florida, New York and Texas, through Lansdowne Wealth Management since March 2025.
How many years of experience does Ann Herrero have?
Ann Herrero has 27 years in the financial industry, since June 1999, across 7 adviser firms.
What exams has Ann Herrero passed?
Ann Herrero has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 66 and Series 31. The earliest, the Series 7, was passed in December 1998. FINRA credited Ann Herrero with the SIE, which began in October 2018.
Where did Ann Herrero work before Lansdowne Wealth Management?
Before Lansdowne Wealth Management, Ann Herrero was registered through Ameriprise Financial Services, LLC, April 2021 to October 2024; Edward Jones, February 2011 to March 2015; Morgan Stanley Smith Barney LLC, June 2009 to February 2011; Morgan Stanley & Co. Incorporated, August 2007 to June 2009; UBS Financial Services Inc., January 2005 to August 2007.
Where is Ann Herrero based?
Ann Herrero’s registered office is in Mystic, CT.
Is Ann Herrero registered with FINRA?
No. Ann Herrero has no current broker registration.
How can I verify Ann Herrero’s record?
Search CRD 3156939 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ann Herrero’s full registration record.
