LR
Leo Rosner
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Orange, OH
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CRD#: 1011519
LR
Professional summary
Leo Rosner is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Orange, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Beachwood, Ohio.
Leo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Leo has worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10HR/WK -10/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2) LEO ROSNER, 2000 Auburn Drive Suite 200, Beachwood OH 44122, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 05/2000, OWNER, NIR, 24 HR/MO - 8 HR/MO Trading. 3) WEALTH STRATEGY ADVISORS, LLC, 2000 Auburn Drive , Suite 200, Suite 200, Beachwood OH, 09.09.85Agent, DBA Name, INV REL, 8HR/MO- 0/TRADING 4) REAL ESTATE / 3201 Enterprise Parkway, Suite 100, Beachwood OH 44122 / 09/19/2022 / NIR / OWNER - OFFICE SPACE / 1 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Leo Rosner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 2, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 2000 Auburn Dr. Ste. 200, Beachwood, OH 44122RIA
CRD#: 134139
Orange, OH
Current
August 2, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2000 Auburn Dr. Ste. 200, Beachwood, OH 44122BD
CRD#: 39543
Beachwood, OH
Past
November 13, 2017 - July 23, 2019
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BEACHWOOD, OH
Past
November 13, 2017 - July 23, 2019
OSAIC SERVICES, INC.
BD
CRD#: 133763
BEACHWOOD, OH
Past
July 23, 2010 - November 21, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
BEACHWOOD, OH
Past
July 23, 2010 - November 21, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Beachwood, OH
Past
May 10, 2001 - July 27, 2010
OSAIC FA, INC.
RIA
CRD#: 3978
PEPPER PIKE, OH
Past
May 10, 2001 - May 8, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
May 10, 2001 - July 27, 2010
OSAIC FA, INC.
BD
CRD#: 3978
PEPPER PIKE, OH
Past
January 21, 1997 - May 9, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 14, 1996 - January 28, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
November 17, 1989 - June 17, 1996
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
July 13, 1989 - November 8, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
October 13, 1987 - July 24, 1989
FIRST WESTERN SECURITIES, INC.
BD
CRD#: 19537
Past
April 1, 1985 - June 12, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
October 15, 1981 - April 18, 1985
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/2/2019)
RR
Colorado(5/9/2022)
RR
District of Columbia(5/4/2021)
RR
Florida(8/2/2019)
RR
Illinois(11/19/2020)
RR
Indiana(11/9/2020)
RR
Maryland(8/2/2019)
RR
New York(8/2/2019)
RR
North Carolina(8/5/2019)
RR
Ohio(8/2/2019)
IAR
Ohio(8/3/2019)
RR
Pennsylvania(8/24/2020)
RR
South Dakota(7/28/2022)
RR
Texas(8/2/2019)
IAR
Texas(8/2/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
