Sergio De La Torre

PANDORA WEALTH

Roswell, GA

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CRD#: 4991068

Professional summary

Sergio De La Torre, AIF® is a registered financial advisor currently at PANDORA WEALTH, INC. located in Roswell, Georgia.

Sergio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Sergio has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Sergio De La Torre'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 21, 2024 - Present

PANDORA WEALTH, INC.

RIA

CRD#: 331816

Roswell, GA

Past

September 12, 2019 - November 22, 2024

SPOTLIGHT ASSET GROUP

RIA

CRD#: 288076

Roswell, GA

Past

May 26, 2016 - September 18, 2019

JOYN ADVISORS, INC.

RIA

CRD#: 106725

ATLANTA, GA

Past

May 5, 2016 - September 19, 2019

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ATLANTA, GA

Past

August 14, 2007 - May 4, 2016

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

ATLANTA, GA

Past

September 28, 2005 - May 3, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ATLANTA, GA

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

Georgia
(11/21/2024)

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: 10/15/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/25/2005

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: 9/27/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/29/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/25/2011

General Securities Sales Supervisor - Options Module 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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Sergio De La Torre

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio De La Torre's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPOTLIGHT ASSET GROUP

JOYN ADVISORS, INC.

SECURIAN FINANCIAL SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

PANDORA WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2007

Series 63

Date: 10/25/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2005

Series 10

Date: 3/29/2012

Series 9

Date: 10/25/2011

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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