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SD

Sergio De La Torre

PANDORA WEALTH
Roswell, GA
Some features on this profile are disabled
CRD#: 4991068
SD

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.

BD
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

BD
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".
PW
PANDORA WEALTH, INC.
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/15/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/25/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/29/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/25/2011
General Securities Sales Supervisor - Options Module Examination

Current Firm

PW
PANDORA WEALTH, INC.
PANDORA WEALTH, INC.

CRD#: 331816 / SEC#: 801-130622

RIA
Registered Investment Advisory firm - (7/5/2024 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
7

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE (3/19/2026)

Regulatory assets under management

Total Number of Accounts109
AUM (Assets Under Management)$ 285,001,611

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.

Company Information

PANDORA WEALTH, INC.

CRD#: 331816Roswell, GA

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