Lori N. Ong
WHELAN FINANCIAL
Fresno, CA 93711-5780
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CRD#: 5845387
Professional summary
Lori Nicole Ong, CFP® is a registered financial advisor currently at WHELAN FINANCIAL located in Fresno, California.
Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Lori has worked at 1 firm .
Question & Answer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Lori Nicole Ong'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: 2021
Experience
Current
May 27, 2021 - Present
WHELAN FINANCIAL
Office #1: 7700 North Palm Ave. #201, Fresno, CA 93711-5780RIA
CRD#: 107227
Fresno, 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".
WF
WHELAN FINANCIAL
WHELAN FINANCIAL | WHELAN VINCENT JOSEPH
CRD#: 107227 / SEC#: 801-40071
RIA
Registered Investment Advisory firm - (10/28/1991 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.Highlighted states indicate IAR registrations
IAR
California(5/27/2021)
IAR
Texas(4/4/2025)
Exams
Current Firm
WF
WHELAN FINANCIAL
WHELAN FINANCIAL | WHELAN VINCENT JOSEPH
CRD#: 107227 / SEC#: 801-40071
RIA
Registered Investment Advisory firm - (10/28/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7700 North Palm Ave. #201, Fresno, CA 93711-5780
Mailing Address
Phone number
(559) 228-8002
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 1,581 |
| AUM (Assets Under Management) | $ 674,632,385 |
Red Flags
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