Leslie A. Szarka
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
North Olmsted, OH 44070
Some features on this profile are disabled
CRD#: 1241045
Professional summary
Leslie Alexander Szarka, CFP®, who also goes by Les Alexander Szarka, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in North Olmsted, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in North Olmsted, Ohio.
Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Leslie has worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Les Alexander Szarka
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.Les Szarka, 29691 Lorain Rd., North Olmsted, OH 44070, Author FINANCIAL BOOKS since 1/1/13, non-investment related, 1 hour yearly not during trading hours.
2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 10/03/2016
3.L.A. SZARKA CFP & ASSOC INC, dba: SZARKA FINANCIAL MANAGEMENT, 29691 LORAIN RD, NORTH OLMSTED, OH, 1/1990 AS CEO/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 50/WK - 8/TRADING.
4.SZARKA RESTAURANT LLC, 29691 LORAIN RD, NORTH OLMSTED, OH, 1/2004 AS OWNING MEMBER OF RENTAL PROPERTY. NIR - 2/MO - 0/TRADING.
5. LESLIE A. & DEBRA J SZARKA, 29691 LORAIN RD. NORTH OLMSTED, OH, RENTAL INCOME OWNER, BUILDING SZARKA FINANCIAL, 02/01/99, NIR, 1 HR/MO- 0/TRADING HR.
6. Szarka Financial, 29691 Lorain Rd, North Olmsted OH. 2/1/1983,CEO, Independent Insurance Agent for various Independent insurance Companies. Investment related, 2/monthly, 2/trade.
7.SZARKA FAMILY COTTAGE RENTAL, 17670 CAMPBELL RD, NELSONVILLE, OH, 9/2019 AS CO-OWNER OF LLC THAT OWNS VACATION RENTAL PROPERTY. NIR - 0 HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Leslie Alexander Szarka'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®
CFP®
Start date: 1985
Experience
Current
October 3, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 29691 Lorain Rd, North Olmsted, OH 44070RIA
CRD#: 134139
North Olmsted, OH
Current
October 3, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 29691 Lorain Road, North Olmsted, OH 44070BD
CRD#: 39543
North Olmsted, OH
Past
December 3, 2001 - October 5, 2016
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
NORTH OLMSTED, OH
Past
September 13, 2001 - October 5, 2016
FSC SECURITIES CORPORATION
BD
CRD#: 7461
NORTH OLMSTED, OH
Past
April 6, 2000 - October 28, 2004
FINANCIAL PLANNING
RIA
CRD#: 119975
NORTH OLMSTED, OH
Past
May 7, 1998 - September 20, 2001
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
April 9, 1998 - May 1, 1998
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
Past
November 28, 1990 - April 9, 1998
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 18, 1987 - October 10, 1990
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 9, 1987 - March 20, 1987
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
Past
October 18, 1984 - January 8, 1987
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
Past
February 23, 1984 - July 5, 1984
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Alabama(2/11/2021)
RR
Arizona(10/3/2016)
RR
California(10/3/2016)
RR
Colorado(1/3/2022)
RR
Connecticut(10/3/2016)
RR
Florida(10/3/2016)
RR
Georgia(10/3/2016)
RR
Illinois(10/3/2016)
RR
Indiana(10/3/2016)
RR
Maryland(10/3/2016)
RR
Massachusetts(10/3/2016)
RR
Michigan(10/3/2016)
RR
Minnesota(1/5/2021)
RR
Nevada(4/12/2022)
RR
New Jersey(10/3/2016)
RR
New York(10/3/2016)
RR
North Carolina(10/3/2016)
RR
Ohio(10/3/2016)
IAR
Ohio(10/3/2016)
RR
Oregon(10/3/2016)
RR
Pennsylvania(10/3/2016)
RR
South Carolina(10/3/2016)
RR
Tennessee(10/3/2016)
RR
Texas(10/3/2016)
IAR
Texas(10/3/2016)
RR
Utah(1/5/2021)
RR
Washington(10/3/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
