ANCORA ADVISORS LLC of MAYFIELD HEIGHTS, OH is an SEC-registered investment adviser (CRD 124674). Regulatory assets under management: $4.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: High net worth, Pooled vehicles, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Bernard Josef Michael | SHAREHOLDER | New York, NY |
| Frederick David Disanto | CHIEF EXECUTIVE OFFICER, CHAIRMAN | — |
| John Pewters Micklitsch | CHIEF INVESTMENT OFFICER; PRESIDENT | — |
| Jason P Geers | CHIEF COMPLIANCE OFFICER | — |
| SCACCO GUSTAVE JOSEPH | SHAREHOLDER | — |
| BARONE RICHARD ANTHONY | CHAIRMAN; CHAIRMAN, CEO, COO; CHAIRMAN, COO (+3 more) | — |
| HOPKINS BRIAN RAYMOND | VICE PRESIDENT | — |
| KUHR DAVID WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| ZUCKER BRADLEY ALAN | CHIEF FINANCIAL OFFICER | — |
| RAIMONDO JAMES GERARD | SHAREHOLDER | — |
| DISANTO FRED DAVID | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, CHAIRMAN; PRESIDENT | — |
| AMATO DENIS JAMES | CHIEF INVESTMENT OFFICER; SHAREHOLDER | — |
| WOIDKE ERIC FRANCIS | SHAREHOLDER | — |
| BARONE CHRISTOPHER RICHARD | CHIEF COMPLIANCE OFFICER; SHAREHOLDER | — |
| MICKLITSCH JOHN PEWTERS | CHIEF INVESTMENT OFFICER; SHAREHOLDER | — |
| CUNNINGHAM FREDA MARIE | RISK OFFICER | — |
| SPIDALIERI JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER | — |
| GARRETT ELIZABETH JEAN | CHIEF FINANCIAL OFFICER | — |
| GEERS JASON P | CHIEF COMPLIANCE OFFICER | — |
| Matthew Martin D'Anniballe | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-18 | regulatory | IN 2018 ANCORA ADVISORS LLC DISCOVERED, THROUGH A ROUTINE SEC REVIEW, THAT SOME EMPLOYEE CONTRIBUTIONS, OVER THE $350 ALLOWABLE LIMIT AND NOT IN COMPLIANCE WITH RULE 206(4)-5, WERE MADE. | Final | $100K |