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ADAM AUGUST SMITH
CRD#: 4353475
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 211 E Maumee St.
Angola, IN 46703
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 516 E HIGH ST
BRYAN, OH 43506
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2018 (8 years)2 FIRMS2018 - Present (6 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2002 - 2009 (7 years)BWELLS FARGO BROKERAGE SERVICES... (CRD# 16100)2002 - 2003 (1 year)BCOMMONWEALTH FINANCIAL NETWORK (CRD# 8032)2001 - 2001 (<1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2007 - 2009 (1 year)
Disclosure(s)
View By:
6/8/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 3/2/2018

B
Pennsylvania 3/2/2018

B
Colorado 5/20/2020

B
South Carolina 5/20/2021

B
Florida 3/2/2018

B
Tennessee 3/2/2018

IA
Indiana 3/2/2018

B
Texas 2/23/2024

B
Indiana 3/6/2018

IA
Texas 2/23/2024

B
Michigan 3/2/2018

B
Virginia 3/2/2018

B
Ohio 3/2/2018

B
Wisconsin 3/2/2018

IA
Ohio 3/2/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
211 E Maumee St., Angola, IN 46703
516 E High St., Bryan, OH 43506
Registered with this firm since 3/2/2018

B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
516 E HIGH ST, BRYAN, OH 43506
211 E Maumee St., Angola, IN 46703
Registered with this firm since 3/2/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
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07/16/2009 - 03/06/2018 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) ANGOLA, IN
B
07/01/2009 - 03/06/2018 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ANGOLA, IN
IA
10/12/2007 - 07/07/2009 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ANGOLA, IN
B
01/04/2002 - 07/07/2009 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ANGOLA, IN
B
10/04/2002 - 12/31/2003 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD#:16100) MINNEAPOLIS, MN
B
04/09/2001 - 11/16/2001 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) WALTHAM, MA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.