Unclaimed Profile

Richard Anthony Barone

ANCORA ADVISORS LLC·BEACHWOOD, Ohio

SIE, Series 1, Series 40, Series 6514 years registeredANCORA ADVISORS LLC

2000 AUBURN DRIVE, BEACHWOOD, OH 44122CRD# 13213Firm CRD# 124674

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Anthony Barone · BEACHWOOD, OH

Registration

CRD #13213 · ANCORA ADVISORS LLC · 14 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ANCORA ADVISORS LLC

ANCORA ADVISORS LLC

Jul 2012 – May 2020

LONGBOAT KEY, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 40

Series 65

Registration record

First registered · July 10, 2012

Years registered · 14

Disclosure History

2020Employment Separation After Allegations

2020Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

ANCORA ADVISORS LLC

CRD 124674 · SEC 801-61770

AUM

$4.3B

Regulatory assets under management

Employees

324 client accounts

Services offered by ANCORA ADVISORS LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

View all advisors at ANCORA ADVISORS LLC →

Introduction

Speak with Richard

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Richard is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in BEACHWOOD?

Browse all registered financial advisors in BEACHWOOD, Ohio or claim this profile if it's yours.

Browse BEACHWOOD Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Richard Anthony Barone offer?

Richard Anthony Barone specializes in Investment Management, Retirement Planning, Wealth Management.

What are Richard Anthony Barone's credentials?

Richard Anthony Barone is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Anthony Barone located?

Richard Anthony Barone is based in BEACHWOOD, Ohio, last registered with ANCORA ADVISORS LLC.

How does Richard Anthony Barone charge for services?

Richard Anthony Barone's firm is compensated through percentage of aum, subscription fees, performance-based fees, other: revenue sharing with frs, and on credit and cash mgmt solutions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ANCORA ADVISORS LLC?

ANCORA ADVISORS LLC has approximately 60 employees and manages $4.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →