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LPL Financial Fires William Ren

William Ren (CRD #:5210376) a broker and investment advisor registered with Cambridge Investment Research was recently fired by LPL Financial, according to his  Brokercheck Record, accessed on January 15, 2022. Read on for the details of his termination.  

Termination Details 

On October 29, 2021, LPL Financial fired William Ren after he allegedly used an unapproved messaging application to promote investment seminars. FINRA Rule 3110 requires that stockbrokers only communicate with investors using approved messaging applications so that the firm can access those communications for review. Brokerage firms are required to review communications to ensure that stockbrokers are complying with applicable securities rules and regulations. 

Background Information 

William Ren has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 63 – Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 – General Securities Representative Examination 
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination  
  • Series 24 – General Securities Principal Examination 

He is a registered broker in 36 states. He is also a registered investment advisor in Texas and Illinois. 

 William Ren has also worked with the following firms:  

  • Edward Jones (CRD#:250) 
  • World Group Securities (CRD#:114473) 

Kurta Law Can Help 

If you lost money after working with William Ren, don’t hesitate to contact us today at 877-600-0098 or 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 and 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.