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William Bennett Terminated by Park Avenue Securities

William Bennett (CRD #: 5334350) has been fired by Park Avenue Securities following allegations. This disclosure appears on his BrokerCheck record, accessed on April 11, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations

On February 9, 2024, Park Avenue Securities fired William Bennett following allegations that he facilitated outside investments that were not approved by the firm. 

FINRA Rule 3270 – Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Background Information 

William Bennett has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 26 Investment Company Products/Variable Contracts Principal Examination 

During his 16 years of experience, William Bennett has registered with two firms: Park Avenue Securities (CRD #: 46173) and PFS Investments (CRD #: 10111). 

Kurta Law Can Help 

If you have worked with William Bennett and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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