AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
Ann Lucy Herrero

Ann L. Herrero

DUNHILL FINANCIAL | Financial Advisor
LONDON, SW19 4JS
Some features on this profile are disabled
CRD#: 3156939
Ann Lucy Herrero

Professional summary

Ann Lucy Herrero, CFP®, who also goes by Ann Johnson Herrero, Ann Lucy Johnson, Ann Johnson, is a registered financial advisor currently at DUNHILL FINANCIAL and LANSDOWNE WEALTH MANAGEMENT, LLC located in Mystic, Connecticut.

Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Ann has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

What are your service offerings?
Employee and Employer Plan Ben...
Insurance Planning
Divorce Planning
Retirement Planning
Estate Planning
Comprehensive Financial Planni...
Investment Planning
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes

Aliases

Ann Johnson Herrero | Ann Lucy Johnson | Ann Johnson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Lucy Herrero's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2004

Experience

Current

November 12, 2024 - Present

DUNHILL FINANCIAL

Office #1: Swan Court 11 Worple Road Unit 109, London, SW19 4JS
RIA
CRD#: 288211
LONDON,
Current

March 21, 2025 - Present

LANSDOWNE WEALTH MANAGEMENT, LLC

Office #1: 34 Water Street Unit 2a, Mystic, CT 06355
RIA
CRD#: 155422
Mystic, CT
Past

April 16, 2021 - October 3, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PLEASANTVILLE, NY
Past

March 27, 2015 - October 3, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PLEASANTVILLE, NY
Past

February 4, 2011 - March 30, 2015

EDWARD JONES

RIA
CRD#: 250
CHAPPAQUA, NY
Past

February 4, 2011 - March 30, 2015

EDWARD JONES

BD
CRD#: 250
CHAPPAQUA, NY
Past

June 1, 2009 - February 11, 2011

MORGAN STANLEY

RIA
CRD#: 149777
STAMFORD, CT
Past

June 1, 2009 - February 11, 2011

MORGAN STANLEY

BD
CRD#: 149777
STAMFORD, CT
Past

August 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
STAMFORD, CT
Past

August 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
STAMFORD, CT
Past

January 12, 2005 - August 14, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
STAMFORD, CT
Past

December 17, 2004 - August 14, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
STAMFORD, CT
Past

June 29, 2001 - December 14, 2004

BNY INVESTMENT CENTER INC.

BD
CRD#: 47683
NEW YORK, NY
Past

November 29, 2000 - May 14, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 11, 1998 - August 17, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DF
DUNHILL FINANCIAL
DF-DIRECT | OMNIWEALTH.EU | DUNHILL FINANCIAL, LLC | DUNHILL FINANCIAL

CRD#: 288211 / SEC#: 801-110590

RIA
Registered Investment Advisory firm - (6/9/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(3/21/2025)
IAR
Florida
(2/11/2026)
IAR
New York
(11/12/2024)
IAR
Texas
(3/21/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/11/2005
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/28/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/24/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/1998
General Securities Representative Examination

Current Firm

DF
DUNHILL FINANCIAL
DF-DIRECT | OMNIWEALTH.EU | DUNHILL FINANCIAL, LLC | DUNHILL FINANCIAL

CRD#: 288211 / SEC#: 801-110590

RIA
Registered Investment Advisory firm - (6/9/2017 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Swan Court 11 Worple Road Unit 109, London, SW19 4JS
Mailing Address
Phone number
+1 (561) 685-2381
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV2A (2/18/2026)

Regulatory assets under management

Total Number of Accounts1,701
AUM (Assets Under Management)$ 601,716,422

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DUNHILL FINANCIAL

Financial AdvisorCRD#: 288211London, SW19 4JS

TRUST BUT VERIFY

Monitor Ann Herrero

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

Similar Advisors

Forrest Wayne Cook
Forrest CookAdvisorCheck Check Mark
CREATIVEONE SECURITIES, LLC
IAR
RR
Olathe, KS
Steven Alan Boorstein
Steven BoorsteinAdvisorCheck Check Mark
ROCKCREST FINANCIAL LLC
IAR
Somers Point, NJ
WC
Walter CoreaAdvisorCheck Check Mark
RBC CAPITAL MARKETS, LLC
IAR
RR
Woodside, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.