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Aaron Werner: $450K Complaint Against Raymond James Advisor

A recent investor complaint against Pasadena, California financial advisor Aaron Werner (CRD# 4843116) alleges that his conduct resulted in losses exceeding $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates.

Mr. Werner’s BrokerCheck report discloses one investor complaint. Filed in June 2023, it alleges that as a representative of Raymond James & Associates, he mismanaged the customer’s account, which included mutual fund investments. The pending complaint alleges damages of $450,000.

His bio on Raymond James’ website describes Mr. James as the Vice President, Investments at Werner Financial Group, a private practice within the firm. “Aaron provides financial guidance to individuals & families, successful business owners, executives of public & private corporations, and non-profit organizations,” the profile states. “He and his team at Werner Financial Group of Raymond James are dedicated to serving the unique and sophisticated wealth management needs of their clients, often in conjunction with outside legal and tax professionals.”

According to the Financial Industry Regulatory Authority, Aaron Werner holds 17 years of securities industry experience. Based in Pasadena, California, he has been a broker and an investment advisor with Raymond James & Associates since 2010. His past registrations include Stonnington Group (Pasadena, California; 2008-2010), Heritage Fund Distributors (St. Petersburg, Florida; 2006-2008), and Raymond James & Associates (St. Petersburg, Florida; 2005-2007). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Colorado, the District of Columbia, Florida, Georgia, Idaho, Michigan, Minnesota, Montana, New Jersey, New Mexico, New York, South Carolina, Tennessee, Texas, Utah, Virginia, and Washington. (Information current as of July 30, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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