STEVEN CRAIG SOVDE

STEVEN CRAIG SOVDE is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 11430 N Community House Rd., Ste 260, Charlotte, NC, 28277.

STEVEN CRAIG SOVDE has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since September 06, 2017

Disclosure History

STEVEN CRAIG SOVDE has 6 Disclosure Event(s).

Date: May 15, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: October 16, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $12,163.00
Judgment/Lien Type: Civil
Broker Comment: I AM STILL TRYING TO RESOLVE THIS CASE TO EVERYBODY'S SATISFACTION. MY TRANSUNION CREDIT REPORT SAYS IT IS SATISFIED.

Date: February 11, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 11, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 11, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 10, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

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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