Steven John Varrone
Professional Summary
Steven John Varrone is a registered financial advisor currently at ANCORA ADVISORS LLC located in Mayfield Heights, Ohio and INVERNESS SECURITIES, LLC located in Cleveland, Ohio. Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Steven has worked at 10 firms and has passed the Series 63, Series 22TO, SIE, Series 7, Series 6, Series 22, Series 26 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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Years of Experience
44 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ANCORA | NONE | ANCORA ADVISORS LLC
Contact Information
Main Address
6060 Parkland Boulevard Suite 200, Mayfield Heights, OH 44124Phone Number
(216) 825-4000# of Employees
46SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
307AUM (Assets Under Management)
$4,614,815,571Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ANCORA | NONE | ANCORA ADVISORS LLC
State Registrations and Notice Filings
(1/22/2014)
(11/3/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1995About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Jun 1982About the Series 22 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 1985About the Series 26 examSeries 39 — Direct Participation Programs Principal Examination
Passed Oct 1983About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Steven John Varrone's CRS (Customer Relationship Summary).
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