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Lori Nicole Ong

Whelan Financial

Fresno, CA

CRD 5845387

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Employer firm

Whelan Financial CRD 107227

$782M regulatory AUM 18 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Whelan Financial

7700 North Palm Ave. #201, Fresno, CA 93711-5780 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-04-04
CA RA APPROVED 2021-05-27
  • TX RA
    APPROVED
    Since 2025-04-04
  • CA RA
    APPROVED
    Since 2021-05-27

Branch Locations

7700 North Palm Ave. #201, Fresno, CA 93711-5780 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Whelan Financial Fresno CA 01/2017 Present
Crown Capital Securities Fresno CA 07/2010 01/2017
Fresno Unified School District Fresno CA 12/2014 01/2017
  • 01/2017 → Present
    Whelan Financial
    Fresno, CA
  • 07/2010 → 01/2017
    Crown Capital Securities
    Fresno, CA
  • 12/2014 → 01/2017
    Fresno Unified School District
    Fresno, CA
Designations
  • Certified Financial Planner

View on SEC IAPD

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Nearby Offices

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