Sandra K. Pierce

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CRD#: 2485488

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sandra Kay Pierce, who also goes by Sandra Kay Worner, Sandy Worner, was a registered financial professional .

Sandra is a previously registered financial professional and started their career in finance in 1994. Sandra had worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandra Kay Worner | Sandy Worner

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

September 11, 2015 - January 5, 2021

PARALLEL ADVISORS, LLC

RIA

CRD#: 140800

Dayton, OH

Past

June 27, 2012 - September 23, 2015

PARKER CARLSON & JOHNSON

RIA

CRD#: 105815

DAYTON, OH

Past

January 1, 1996 - September 4, 1996

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

May 6, 1994 - January 1, 1996

COMPREHENSIVE FINANCIAL SERVICES, INC.

CRD#: 22710

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".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/1/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/2/1994

General Securities Representative Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

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.

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Firm Stability Insights

Sandra K. Pierce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARALLEL ADVISORS, LLC

PARKER CARLSON & JOHNSON

IFG NETWORK SECURITIES, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/1994

Series 7

Date: 5/2/1994

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

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