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Mark F. Leone
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Salt Lake City, UT
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CRD#: 1873046
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Professional summary
Mark Franklin Leone, who also goes by Mark F Leone, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Salt Lake City, Utah and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Salt Lake City, Utah.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark F Leone
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) INVESTMENT MANAGEMENT CONSULTANTS, 6465 S 3000 EAST SALT LAKE CITY UT, 05/2014, AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES. INV REL, 1 HR/WK 0 HR/TRADING 2) THE LION GROUP, 3339 S FALLON RD SALT LAKE CITY UT, 06/2014, AS OWNER OF LLC FOR LIABILITY PURPOSES. NIR, 1 HR/WK 0 HR/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 08/2015, AS ADVISORY REP OF A RIA. INV REL, 45 HR/WK 35 HR/TRADING 4) INVESTMENT MANAGEMENT CONSULTANTS, 6465 South 3000 East, Suite 200, SLC UT 84121, United States, 05/01/2014, IAR, DBA, INV REL, 160/MO - 160/Trading
CRS (Client Relationship Summary) - RIA
Click below to view Mark Franklin Leone'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
May 15, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 6465 S 3000 E Ste 200, Salt Lake City, UT 84121RIA
CRD#: 134139
Salt Lake City, UT
Current
May 1, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6465 S 3000 E Ste 200, Salt Lake City, UT 84121BD
CRD#: 39543
Salt Lake City, UT
Past
June 1, 2009 - April 23, 2014
MORGAN STANLEY
RIA
CRD#: 149777
SALT LAKE CITY, UT
Past
June 1, 2009 - April 23, 2014
MORGAN STANLEY
BD
CRD#: 149777
SALT LAKE CITY, UT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SALT LAKE CITY, UT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SALT LAKE CITY, UT
Past
December 2, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SALT LAKE CITY, UT
Past
December 1, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SALT LAKE CITY, UT
Past
March 7, 1995 - December 2, 2005
ZIONS DIRECT, INC.
RIA
CRD#: 17776
SALT LAKE CITY, UT
Past
November 14, 1994 - December 2, 2005
ZIONS DIRECT, INC.
BD
CRD#: 17776
SALT LAKE CITY, UT
Past
March 13, 1991 - January 4, 1994
FIRST SECURITY INVESTOR SERVICES, INC.
BD
CRD#: 15515
SALT LAKE CITY, UT
Past
October 19, 1988 - January 4, 1991
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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
Arizona(6/9/2016)
RR
California(5/1/2014)
RR
Colorado(5/18/2022)
RR
District of Columbia(5/1/2014)
RR
Florida(2/14/2017)
RR
Idaho(5/1/2014)
RR
Michigan(2/21/2017)
RR
Missouri(2/6/2018)
RR
Montana(3/13/2017)
RR
Nevada(5/1/2014)
RR
New Mexico(5/1/2014)
RR
New York(5/1/2014)
RR
Oklahoma(11/2/2017)
RR
Oregon(10/4/2016)
RR
Pennsylvania(3/20/2017)
IAR
Texas(4/8/2020)
RR
Texas(4/9/2020)
RR
Utah(5/1/2014)
IAR
Utah(5/15/2014)
RR
Virginia(5/15/2014)
RR
Washington(5/20/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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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.
