Maria Heredia: $3.5 Million Complaint Against Winter Springs Advisor

A recent investor complaint against Edward Jones financial advisor Maria Heredia (CRD# 2846556) alleges her advice led to damages exceeding $3 million. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Winter Springs, Florida. 

Ms. Heredia’s BrokerCheck report discloses one investor complaint against her. Filed in July 2022, it alleges that Edward Jones failed to conduct adequate due diligence into High Street Capital, an investment “outside the Claimants’ relationship” with the firm, and additionally that Edward Jones failed to properly advise the claimants regarding their decision to invest outside their relationship with it. The pending complaint alleges damages of $3,590,000.

According to the Financial Industry Regulatory Authority, Maria Heredia holds 24 years of securities industry experience. Based in Winter Springs, Florida, she has been a broker and an investment advisor with Edward Jones since 2005. Her past registrations include Gunnallen Financial (Tampa, Florida; 2003-2004), Quick & Reilly (Winter Park, Florida; 2003), UBS Financial Services (Weehawken, New Jersey; 2000-2003), and Merrill Lynch (New York, New York; 1997-2000). Her 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 Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in Alabama, Arizona, California, Colorado, the District of Columbia, Florida, Georgia, Indiana, Iowa, Maryland, Massachusetts, Minnesota, Missouri, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, and Wisconsin. She is registered with four self-regulatory organizations: FINRA, NYSE American, the Nasdaq Stock Market, and the New York Stock Exchange. (Information current as of August 30, 2022.)

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