TR
Thomas A. Ren
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Roaring River, NC
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CRD#: 2729198
TR
Professional summary
Thomas Alan Ren is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Roaring River, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Roaring River, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
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.
1. BULL & BEAR OUTFITTERS INC., P.O Box 87, 494 Old Bridge Road, Roaring River NC 28669, United States, 12/12/2024, Owner, Insurance/Benefits/Human Resources, NIR, 5 HR/MO - 5 HR/MO TRADING 2. TOMMY'S BODACIOUS FOODS, PO Box 87, 494 Old Bridge Road, Roaring River NC 28669, United States, 04/01/2004, President, Food/Beverage Services, NIR, 0 HR/MO - 0 HR/MO TRADING 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 12/12/2024 4. FINANCE TEAM @ CHURCH, 164 Celebration Way, N. Wilkesboro NC 28659, 12/2024, Lead of Churches Finance Committee 6 Member, Church, Non-profit, NIR, 5 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alan Ren'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®
NoneExperience
Current
December 12, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Roaring River, NC
Current
December 12, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Roaring River, NC
Past
April 17, 2024 - December 17, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROARING RIVER, NC
Past
April 17, 2024 - December 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
ROARING RIVER, NC
Past
January 5, 2016 - April 17, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
Roaring River, NC
Past
January 4, 2016 - April 17, 2024
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
Roaring River, NC
Past
November 14, 2014 - December 31, 2015
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LITTLETON, CO
Past
November 14, 2014 - December 31, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LITTLETON, CO
Past
August 14, 2007 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
LITTLETON, CO
Past
August 9, 2007 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
LITTLETON, CO
Past
June 13, 2007 - July 31, 2007
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
February 28, 2007 - July 31, 2007
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
LITTLETON, CO
Past
April 3, 2003 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
LITTLETON, CO
Past
April 3, 2003 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
LITTLETON, CO
Past
January 1, 1999 - April 17, 2003
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
GOLDEN, CO
Past
July 20, 1998 - April 17, 2003
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
April 24, 1996 - July 17, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/12/2024)
RR
Colorado(1/14/2025)
RR
Michigan(12/12/2024)
RR
Nebraska(12/12/2024)
RR
Nevada(12/18/2024)
RR
New Mexico(12/12/2024)
RR
North Carolina(12/12/2024)
IAR
North Carolina(12/12/2024)
RR
Texas(12/12/2024)
IAR
Texas(12/13/2024)
RR
Washington(3/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
