Alain Dieguez Herrera
Professional summary
Alain Dieguez Herrera, who also goes by Alain Dieguez, Alain Dieguez Herrera, Alain Herrera, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Weston, Florida and TRUIST INVESTMENT SERVICES, INC. located in Bal Harbour, Florida.
Alain is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alain has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alain Dieguez Herrera's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 16, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 1200 Weston Rd Fl 2, Weston, FL 33326May 2, 2012 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 9600 Collins Ave, Bal Harbour, FL 33154Office #2: 4480 Weston Rd, Fort Lauderdale, FL 33331Office #3: 372 E Dania Beach Blvd, Dania, FL 33004Office #4: 13636 W State Road 84, Davie, FL 33325Office #5: 15701 Pines Blvd, Pembroke Pines, FL 33027Office #6: 221 Commercial Blvd, Fort Lauderdale, FL 33308Office #7: 1200 Weston Rd Fl 1 & 2, Weston, FL 33326June 25, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 17, 2010 - April 23, 2012
HSBC SECURITIES (USA) INC.
July 20, 2005 - February 1, 2010
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2017)
(5/7/2015)
(9/3/2025)
(5/2/2012)
(9/16/2016)
(5/7/2015)
(7/11/2023)
(3/24/2017)
(1/6/2023)
(9/11/2025)
(10/19/2020)
(8/23/2024)
(3/24/2017)
(5/25/2023)
(5/2/2012)
(5/8/2015)
(2/10/2022)
(5/7/2015)
(2/26/2021)
(5/7/2015)
(11/6/2018)
(7/14/2021)
(9/3/2025)
(5/7/2015)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
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Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Weston, FL 33326TRUST BUT VERIFY
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