REBECCA LEA SMITH

REBECCA LEA SMITH is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1776 PLEASANT PLAIN RD., FAIRFIELD, IA, 52556-8757.

REBECCA LEA SMITH has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since April 12, 2013

Disclosure History

REBECCA LEA SMITH has 1 Disclosure Event(s).

Date: February 28, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $4,952.61
Judgment/Lien Type: Civil
Broker Comment: Judgment was filed on 2/28/2017. RR did not learn of the judgment until they were notified by the Firm on 3/2/17.

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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