Anna [. Pan

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CRD#: 2933146

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.

Anna [no Middle Name] Pan, CFP®, who also goes by Anna Pan, was a registered financial professional .

Anna is a previously registered financial professional and started their career in finance in 1997. Anna had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anna Pan

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.

Licensed Insurance Professional; Not investment-related; Montclair, NJ; less than 10% of time.

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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Past

August 15, 2021 - March 10, 2025

GUERRA PAN ADVISORS, LLC

RIA

CRD#: 313489

REPULSE BAY,

Past

July 6, 2019 - August 16, 2021

ALDEN CAPITAL

RIA

CRD#: 293551

Long Island City, NY

Past

July 6, 2019 - November 8, 2021

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

New York, NY

Past

August 15, 2011 - July 6, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

July 13, 2011 - July 6, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 14, 1997 - February 21, 2003

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, 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".

GUERRA PAN ADVISORS, LLC

CRD#: 313489 / SEC#: 801-120767

RIA

Registered Investment Advisory firm - (4/14/2021 Approved)

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

IAR

Series 66

Date: 8/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2011

General Securities Representative Examination

Current Firm

GUERRA PAN ADVISORS, LLC

CRD#: 313489 / SEC#: 801-120767

RIA

Registered Investment Advisory firm - (4/14/2021 Approved)

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Contact information

Main Address

Montclair, NJ

Mailing Address

572 Valley Road Suite 2, #43606, Montclair, NJ 07043

Phone number

(917) 599-9596

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUERRA PAN DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/10/2025)

Regulatory assets under management

Total Number of Accounts	291
AUM (Assets Under Management)	$ 183,138,667

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

Anna [. Pan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALDEN CAPITAL

J. ALDEN ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

GUERRA PAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/2011

Series 63

Date: 10/15/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2011

Current Firm

GUERRA PAN ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUERRA PAN ADVISORS, LLC

TRUST BUT VERIFY

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