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TS

Timothy A. Smith

Some features on this profile are disabled
CRD#: 2466233
TS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Timothy Adams Smith was a registered financial advisor .

Timothy is a previously registered financial advisor and started their career in finance in 1994. Timothy had worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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

October 29, 2004 - December 17, 2004

CAMBRIDGE LEGACY SECURITIES L.L.C.

BD
CRD#: 103722
DALLAS, TX
Past

February 10, 2004 - November 26, 2004

SII INVESTMENTS, INC.

RIA
CRD#: 2225
LITTLE ROCK, AR
Past

February 3, 2004 - November 26, 2004

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

August 8, 1994 - May 4, 1998

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR

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
IAR
Series 66
Date: 2/9/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/2004
General Securities Representative Examination

Current Firm

CL
CAMBRIDGE LEGACY SECURITIES L.L.C.
ABEL FINANCIAL | WEALTH MANAGEMENT ADVISORS | VALTA INC | U.S. WEALTH ADVISORS, INC. | TRUSTMARK FINANCIAL SERVICES | THE FOCUS GROUP ADVISORS | STRATEGIC FINANCIAL SOLUTIONS, INC. | SNIDER WEALTH MANAGEMENT | NORTHSTAR BROKERAGE | MYLER FINANCIAL PLANNING | MIKE HENRY & ASSOCIATES | MICELI CASTELLON | LIGHTHOUSE FINANCIAL GROUP | LEGACY WEALTH ADVISORS | KNIGHTSBRIDGE GROUP, LLC | IDEAL LIFE ADVISORS | HORIZON ADVISORS | COUR FINANCIAL LLC | CORNERSTONE FINANCIAL ADVISORS | CORNERSTOME FINANCIAL SERVICES, INC. | CAMBRIDGE LEGACY SECURITIES L.L.C. | BREEDLOVE FINANCIAL

CRD#: 103722 / SEC#: , 8-52220

BD
Terminated by SEC on 06/12/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/09/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE CAMBRIDGE LEGACY GROUP, INC.SHAREHOLDER
ARENDER, GREGORY ALLENFINANCIAL OPERATION PRINCIPAL5978765
FINCHER, TOMMY EDWARDPRESIDENT / CHIEF COMPLIANCE OFFICER1725266

Disclosures

Regulatory Event8
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CAMBRIDGE LEGACY SECURITIES L.L.C.

CRD#: 103722

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