AP
Allen D. Pong
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77027
Some features on this profile are disabled
CRD#: 1100789
AP
Professional summary
Allen Dean Pong, CFP®, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA WEALTH SERVICES, LLC located in Houston, Texas.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Allen has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 4 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Insurance Planning
Investment Planning
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.
1. ARDENT SOLUTIONS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2018 ADDRESS: , Sugarland TX , United States DESCRIPTION: Agent/Broker 2. IMG FINANCIAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker 3. IMG FINANCIAL GROUP POSITION: Salesperson NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/1982 ADDRESS: , Houston TX , United States DESCRIPTION: Salesperson IMG MEDICAL GROUP POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker 4. HE SAID SHE SHED PROPERTIES, LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 330 Knipp Road, Houston TX 77024, United States DESCRIPTION: Short term rental of house. Wife will manage LLC I will be passive investor 5. PECAN INVESTMENT PROPERTY LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2021 ADDRESS: 504 N. Pecan Street, Fredericksburg TX 78624, United States DESCRIPTION: Short term rental of vacation property; 6. NAME OF OTHER BUSINESS: ORANGE STREET TREAT, LLC, INVESTMENT RELATED: NO, ADDRESS: 410 S. ORANGE STREET, FREDERICKSBURG, TX 78624, NATURE OF BUSINESS: REAL ESTATE START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: MANAGE SHORT TERM RENTAL PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view Allen Dean Pong's 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®
Start date: 1987
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4550 Post Oak Pl Ste 125, Houston, TX 77027RIA
CRD#: 105644
HOUSTON, TX
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4550 Post Oak Place Suite 125, Houston, TX 77027BD
CRD#: 13572
Houston, TX
Past
June 9, 2004 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
HOUSTON, TX
Past
June 9, 2004 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
HOUSTON, TX
Past
August 14, 2002 - June 8, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
HOUSTON, TX
Past
August 6, 1997 - June 8, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 24, 1990 - August 6, 1997
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
March 23, 1983 - November 14, 1990
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(8/10/2023)
RR
District of Columbia(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Illinois(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Missouri(8/10/2023)
RR
New Mexico(5/27/2025)
RR
New York(8/10/2023)
RR
Ohio(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Washington(8/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
