Weina Hou: $500K-$1mm Complaint Against Cetera Advisor

San Mateo, California financial advisor Weina Hou (CRD# 5901613) allegedly misrepresented investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively.

Ms. Hou’s BrokerCheck report discloses two investor complaints. The most recent, filed in September 2024, alleges that as a representative of Cetera Investment Services, she misrepresented a corporate bond investment. The pending complaint alleges unspecified damages of at least $5,000.

A second investor complaint, filed in 2022, alleges that as a Cetera Investment Services representative, she misrepresented and sold an unsuitable investment in a structured product. The pending complaint alleges damages between $500,000 and $1,000,000.

According to the Financial Industry Regulatory Authority, Weina Hou holds 13 years of securities industry experience. Based in San Mateo, California, she has been registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, since 2018. Her past registrations include Merrill Lynch (Oakland, California; 2014-2018), MetLife Securities (Walnut Creek, California; 2011-2014), and Pruco Securities (San Ramon, California; 2011). Her credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Arizona, California, Georgia, Nevada, New York, and Wisconsin. (Information current as of October 12, 2024.)

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