AS
CFP · ChFC
AS
CFP · ChFC
Adam Smith is a CFP, ChFC-designated registered investment advisor, based in Angola, IN, with 24 years of industry experience.
Location
211 E Maumee St., Angola, IN, 46703
Get directionsHistory
Regulatory History (1)
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Customer Dispute
June 2010Denied
Other Business ActivitiesSells Insurance
Adam is an independent insurance agent for various companies since 2018, dedicating a few hours per week to this activity. He also works as an advisory representative of a RIA, spending about 10-20% of his time on this. Finally, he is a W2 employee using a trade name, dedicating full-time hours to this.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
March 2018 - Present · 8 yrs 2 mos
Cambridge Investment Research, INC.Broker
March 2018 - Present · 8 yrs 2 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
July 2009 - March 2018 · 8 yrs 8 mos
Raymond James Financial Services, INC.Broker
July 2009 - March 2018 · 8 yrs 8 mos
Wells Fargo Investments, LLC
October 2007 - July 2009 · 1 yr 9 mos
Wells Fargo Brokerage Services, L.L.C.Broker
October 2002 - December 2003 · 1 yr 2 mos
Wells Fargo Investments, LLCBroker
January 2002 - July 2009 · 7 yrs 6 mos
Commonwealth Financial NetworkBroker
April 2001 - November 2001 · 7 mos
State Registrations13 states
AZCOFLINMINYOHPASCTNTXVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.