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Ren Hu

Some features on this profile are disabled
CRD#: 3266239
RH

Professional summary

Ren Hu was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ren is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Ren had worked at 4 firms, which includes UNIVEST SECURITIES LLC, FIS BROKERAGE & SECURITIES SERVICES LLC, TAFFERER TRADING LLC, WORLDCO L.L.C..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Hu | Qionghua Alex Hu | Qionghua Hu

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 5, 2008 - December 31, 2008

UNIVEST SECURITIES, LLC

BD
CRD#: 36105
NEW YORK, NY
Past

March 9, 2004 - September 27, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

October 21, 2003 - March 24, 2004

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

September 21, 1999 - October 23, 2003

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/13/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/20/1999
General Securities Representative Examination

Current Firm

US
UNIVEST SECURITIES, LLC
UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, LLC | UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, INC. | UNIVEST SECURITIES

CRD#: 36105 / SEC#: , 8-47006

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
75 Rockefeller Plaza Suite18c, New York, NY 10019
Mailing Address
75 Rockefeller Plaza, New York, NY 10019
Phone number
(212) 343-8888
Established
New York since 01/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
18

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
COMMAS INTERNATIONAL HOLDING, LLCSHAREHOLDER
FAN, XINYUECFO7171614
GUO, YIMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT BANKING CHIEF COMPLIANCE OFFICER6246079
JACOBSEN, BRYAN KNON INVESTMENT BANKING CHIEF COMPLIANCE OFFICER3055957
0

Disclosures

Regulatory Event2

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.

Company Information

UNIVEST SECURITIES, LLC

CRD#: 36105

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