Thomas J. Kennedy

ANCORA PRIVATE WEALTH ADVISORS

Cleveland, OH 44124

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CRD#: 2779028

Professional summary

Thomas Jerard Kennedy is a registered financial advisor currently at ANCORA PRIVATE WEALTH ADVISORS, LLC located in Cleveland, Ohio and INVERNESS SECURITIES, LLC located in Cleveland, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.)KT VENTURES, LLC; START DATE:12/20/2014; 4 HRS. PER MONTH (0 DURING TRADING HOURS). PRIVATE COMPANY HOLDING COMPANY; PASSIVE INVESTMENT ACTIVITY 2.)INVERNESS INVESTMENT GROUP,LLC; RIA; START DATE:6/1/2011 3.) APX ENERGY;OIL & GAS DRILLING;START DATE:5/1/2014;INVESTMENT RELATED; MINORITY SHAREHOLDER; 4 HOURS PER MONTH (0 HOURS DURING TRADING HOURS) 4. Cleveland Tech Ventures. Not investment related. Cleveland Ohio. no activity during trading hours. 50% owner 5. Global Digital Instrument, LLC start 9/1/2020 not investment related. Fairport, NY board memeber 6-10 hours a month. none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jerard Kennedy's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 24, 2011 - Present

ANCORA PRIVATE WEALTH ADVISORS, LLC

Office #1: 6060 Parkland Boulevard Suite 200, Cleveland, OH 44124

RIA

CRD#: 124845

Cleveland, OH

Current

July 7, 2014 - Present

INVERNESS SECURITIES, LLC

Office #1: 6060 Parkland Blvd Suite 200, Cleveland, OH 44124Office #2: 6060 Parkland Blvd Ste 200, Cleveland, OH 44124

CRD#: 129914

Cleveland, OH

Past

March 1, 2012 - July 15, 2014

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

BEACHWOOD, OH

Past

October 13, 2009 - February 22, 2010

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

INDEPENDENCE, OH

Past

January 10, 2007 - February 22, 2010

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

INDEPENDENCE, OH

Past

July 25, 2001 - January 24, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLEVELAND, OH

Past

June 1, 2001 - January 24, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 3, 1997 - June 29, 2000

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

August 1, 1996 - December 2, 1997

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

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".

ANCORA PRIVATE WEALTH ADVISORS, LLC

CRD#: 124845 / SEC#: 801-61942

RIA

Registered Investment Advisory firm - (4/3/2003 Approved)

Ohio

Registered Investment Advisory firm - (4/3/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Ohio
(6/24/2011)

Ohio
(7/7/2014)

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

State Security Law Exam

IAR

Series 65

Date: 7/12/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ANCORA PRIVATE WEALTH ADVISORS, LLC

CRD#: 124845 / SEC#: 801-61942

RIA

Registered Investment Advisory firm - (4/3/2003 Approved)

Ohio

Registered Investment Advisory firm - (4/3/2003 Terminated)

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Contact information

Main Address

6060 Parkland Boulevard Suite 200, Cleveland, OH 44124

Mailing Address

Phone number

(216) 825-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANCORA PRIVATE WEALTH ADVISORS LLC FORM ADV PART 2A DTD 12-31-2024 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	4,083
AUM (Assets Under Management)	$ 3,213,280,712

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jerard Kennedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVERNESS SECURITIES, LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SUNSET FINANCIAL SERVICES, INC.

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

ANCORA PRIVATE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2001

Series 63

Date: 8/21/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1996

Series 6

Date: 7/31/1996

Series 24

Date: 1/2/2023

FINRA

Current Firm

ANCORA PRIVATE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANCORA PRIVATE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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