Susan Herrera, financial advisor Scottsdale AZ

Susan Herrera

CRD Number: 1191172
Current Firm: Robert W. Baird & Company Incorporated

Susan Herrera (CRD# 1191172) is an Investment Advisor Representative working at Robert W. Baird & Company Incorporated in Scottsdale, AZ and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Baird Scottsdale, AZ Dec 2021 - Current 2
Wells Fargo Clearing Services, LLC Scottsdale, AZ Nov 2016 - Dec 2021 5
Wells Fargo Advisors LLC Scottsdale, AZ May 2009 - Nov 2016 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1995
S65 NASAA Investment Advisors Law Examination Oct 1995
Contact Info for Susan L. Herrera
Phone Number: 414-765-3500
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    287,515
    MILLIONS
  • Total Number of Accounts
    331,500
    ACCOUNTS
  • Average Account Value
    $867,315
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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