Irene L. Fong
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Irene Ling Fong, who also goes by Irene L S Fong, Irene L Sun Fong, Irene L Fong, Irene L Sun, Irene Ling Sun, was a registered financial professional .
Irene is a previously registered financial professional and started their career in finance in 1981. Irene had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
June 17, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
March 5, 2020 - December 31, 2023
CETERA WEALTH SERVICES, LLC
February 12, 2018 - March 6, 2020
ONEAMERICA SECURITIES, INC.
February 12, 2018 - March 6, 2020
ONEAMERICA SECURITIES, INC.
December 22, 2016 - February 12, 2018
CETERA WEALTH SERVICES, LLC
February 21, 2002 - November 13, 2002
CETERA WEALTH SERVICES, LLC
January 4, 1999 - February 12, 2018
CETERA WEALTH SERVICES, LLC
January 28, 1991 - December 31, 1998
PROTECTED INVESTORS OF AMERICA
January 31, 1986 - February 5, 1991
PRUCO SECURITIES, LLC.
October 10, 1981 - December 28, 1984
CAPITAL EXPRESS CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
