David C. Tsow

PANDORA WEALTH

San Diego, CA 92123

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CRD#: 4315641

Professional summary

David Chien Tsow, who also goes by David Tsow, is a registered financial advisor currently at PANDORA WEALTH, INC. located in San Diego, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Tsow

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 David Chien Tsow'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®

None

Experience

Current

July 17, 2024 - Present

PANDORA WEALTH, INC.

Office #1: 9655 Granite Ridge Drive Suite 200, San Diego, CA 92123

RIA

CRD#: 331816

San Diego, CA

Past

April 8, 2019 - November 22, 2024

SPOTLIGHT ASSET GROUP

RIA

CRD#: 288076

San Diego, CA

Past

April 9, 2009 - January 18, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

San Diego, CA

Past

April 9, 2009 - January 18, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

San Diego, CA

Past

September 8, 2005 - March 18, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ESCONDIDO, CA

Past

September 8, 2005 - March 18, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ESCONDIDO, CA

Past

July 12, 2001 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN DIEGO, CA

Past

January 25, 2001 - August 29, 2005

MORGAN STANLEY DW INC.

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".

PANDORA WEALTH, INC.

CRD#: 331816 / SEC#: 801-130622

RIA

Registered Investment Advisory firm - (7/5/2024 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

California
(7/18/2024)

IAR

Texas
(7/17/2024)

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: 5/29/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/6/2001

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: 1/10/2001

General Securities Representative Examination

Current Firm

PANDORA WEALTH, INC.

CRD#: 331816 / SEC#: 801-130622

RIA

Registered Investment Advisory firm - (7/5/2024 Approved)

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Contact information

Main Address

1 Mid America Plaza Floor 3, Oakbrook Terrace, IL 60181

Mailing Address

Phone number

(630) 230-6841

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

FIRM DISCLOSURE BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	453
AUM (Assets Under Management)	$ 236,000,000

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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Advisor Monitoring

Firm Stability Insights

David C. Tsow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Chien Tsow's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPOTLIGHT ASSET GROUP

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PANDORA WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2001

Series 63

Date: 2/6/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/10/2001

Current Firm

PANDORA WEALTH, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PANDORA WEALTH, INC.

TRUST BUT VERIFY

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