Leslie Alexander Szarka

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2016-10-03
TX	RA	APPROVED_RES	2016-10-03

OH RA
APPROVED

Since 2016-10-03
TX RA
APPROVED_RES

Since 2016-10-03

Branch Locations

29691 Lorain Rd, North Olmsted, OH 44070 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Szarka Financial Management	N Olmsted	OH	01/1987	Present
Fsc Securities Corporation	North Olmsted	OH	09/2001	10/2016
Cambridge Investment Research, Inc.	Fairfield	IA	10/2016	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	10/2016	Present

01/1987 → Present

Szarka Financial Management

N Olmsted, OH
09/2001 → 10/2016

Fsc Securities Corporation

North Olmsted, OH
10/2016 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
10/2016 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2001-12-03 → 2016-10-05

Fsc Securities Corporation

North Olmsted, OH
2000-04-06 → 2004-10-28

Financial Planning

North Olmsted, OH

Other Businesses

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.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1990-01-08

S63 Uniform Securities Agent State Law Examination

1990-01-08

Designations

Certified Financial Planner

Other Names

Les Alexander Szarka

View on SEC IAPD