Andy L. Herrera

FORTRESS WEALTH MANAGEMENT

Culver City, CA 90232

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CRD#: 6519643

Professional summary

Andy Lopez Herrera, CFP®, who also goes by Andy Lopez Herrera, Andy Lopez, is a registered financial advisor currently at FORTRESS WEALTH MANAGEMENT, INC. located in Culver City, California.

Andy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Andy has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy Lopez Herrera | Andy Lopez

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.

I am an enrolled agent and I prepare personal and business tax returns for clients. I receive a flat rate for each service I provide; no commissions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andy Lopez Herrera'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

August 10, 2021 - Present

FORTRESS WEALTH MANAGEMENT, INC.

Office #1: 9696 Culver Blvd Suite 301, Culver City, CA 90232

RIA

CRD#: 110279

Culver City, CA

Past

August 3, 2015 - July 8, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SANTA MONICA, CA

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".

FORTRESS WEALTH MANAGEMENT, INC.

FORTRESS RETIREMENT | FORTRESS WEALTH MANAGEMENT, INC. | FORTRESS WEALTH MANAGEMENT INC | FORTRESS RETIREMENT, INC.

CRD#: 110279 / SEC#: 801-113280

RIA

Registered Investment Advisory firm - (5/24/2018 Approved)

California

Registered Investment Advisory firm - (6/28/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/29/2018 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.

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
(8/10/2021)

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: 8/11/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/1/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FORTRESS WEALTH MANAGEMENT, INC.

FORTRESS RETIREMENT | FORTRESS WEALTH MANAGEMENT, INC. | FORTRESS WEALTH MANAGEMENT INC | FORTRESS RETIREMENT, INC.

CRD#: 110279 / SEC#: 801-113280

RIA

Registered Investment Advisory firm - (5/24/2018 Approved)

California

Registered Investment Advisory firm - (6/28/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/29/2018 Terminated)

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Contact information

Main Address

9696 Culver Blvd Suite 301, Culver City, CA 90232

Mailing Address

Phone number

(310) 899-0606

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

FORTRESS WEALTH MANAGEMENT, INC. BROCHURE PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	688
AUM (Assets Under Management)	$ 269,288,511

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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Andy L. Herrera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andy Lopez Herrera's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTRESS WEALTH MANAGEMENT, INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

FORTRESS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/2015

SIE

Date: 10/1/2018

Series 6

Date: 8/1/2015

Current Firm

FORTRESS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORTRESS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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