Allen Pong
Allen Pong is a CFP, ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Houston, TX, with 43 years of industry experience. Allen is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
4550 Post Oak Pl, Ste 125, Houston, TX, 77027
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Allen is an agent/broker for Ardent Solutions and IMG Financial Group, and also a salesperson for IMG Financial Group, all involving fixed insurance sales. Additionally, Allen owns He Said She Shed Properties LLC, Pecan Investment Property LLC, and Orange Street Treat LLC, all short-term rental properties.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Cetera Wealth Services, LLC
Previous Registrations
Securian Financial Services, INC.Broker
Securian Financial Services, INC.
New England Securities Corporation
New England SecuritiesBroker
Mimlic Sales CorporationBroker
Princor Financial Services CorporationBroker
State Registrations18 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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