Ted H. Ong

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CRD#: 1185460

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.

Ted Hop Ong was a registered financial professional .

Ted is a previously registered financial professional and started their career in finance in 1983. Ted had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.FORTUNE WAY VISTA, LLC; 2598 FORTUNE WAY; VISTA, CA 92081; ACTIVITY START DATE: JULY 1, 2000; OWN 92.5% INTEREST IN OFFICE BUILDING; 4 HOURS PER MONTH; 0 HOURS DURING TRADING DATE; NOT INVESTMENT RELATED. Cal State Fullerton Instructor of the online Investment Management course. 800 N State College Blvd, Fullerton, CA 92831. Non-investment related. Started in 2006. 4 hours a month during securities trading hours; 30 hours a month during outside business hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 5, 2011 - August 8, 2025

PRUDENT INVESTORS

RIA

CRD#: 127284

LAKE FOREST, CA

Past

August 28, 2009 - January 7, 2019

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

VISTA, CA

Past

April 9, 2003 - August 31, 2009

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

VISTA, CA

Past

July 8, 1997 - April 8, 2003

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

VISTA, CA

Past

May 1, 1989 - April 8, 2003

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 25, 1983 - May 8, 1989

CROWELL, WEEDON & CO.

CRD#: 193

LOS ANGELES, 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".

PRUDENT INVESTORS

PRUDENT INVESTORS | PRUDENT INVESTORS NETWORK, INC.

CRD#: 127284 / SEC#: 801-79432

RIA

Registered Investment Advisory firm - (4/7/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/16/2014 Terminated)

California

Registered Investment Advisory firm - (8/15/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (8/1/2014 Terminated)

Nevada

Registered Investment Advisory firm - (8/25/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 12/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/31/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/1989

General Securities Principal Examination

Current Firm

PRUDENT INVESTORS

PRUDENT INVESTORS | PRUDENT INVESTORS NETWORK, INC.

CRD#: 127284 / SEC#: 801-79432

RIA

Registered Investment Advisory firm - (4/7/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/16/2014 Terminated)

California

Registered Investment Advisory firm - (8/15/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (8/1/2014 Terminated)

Nevada

Registered Investment Advisory firm - (8/25/2014 Terminated)

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Contact information

Main Address

22932 El Toro Rd., Lake Forest, CA 92630

Mailing Address

Phone number

(760) 597-9255

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (8/11/2025)

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 409,250,453

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Ted H. Ong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CEROS FINANCIAL SERVICES, INC.

GUGGENHEIM DISTRIBUTORS, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CROWELL, WEEDON & CO.

Primary Firm SEC Registration

PRUDENT INVESTORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/1996

Series 63

Date: 7/26/1989

SIE

Date: 10/1/2018

Series 31

Date: 12/31/2001

Series 7

Date: 11/19/1983

Series 24

Date: 7/26/1989

Current Firm

PRUDENT INVESTORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRUDENT INVESTORS

TRUST BUT VERIFY

Contact information

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