JB
John G. Bartels
ANCORA PRIVATE WEALTH ADVISORS
Cleveland, OH 44124
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CRD#: 2780646
JB
Professional summary
John Gregory Bartels is a registered financial advisor currently at ANCORA PRIVATE WEALTH ADVISORS, LLC located in Cleveland, Ohio and SAFEGUARD SECURITIES, INC. located in Cleveland, Ohio.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 51 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.)INVERNESS HOLDINGS; PARTNER; CONSULTING; START DATE: 1/1/2009 2.) INVERNESS HOLDINGS LLC; PARTNER; HOLDING COMPANY OR SUB-S CORP; START DATE:5/1/2009 3.) CONCEPTS 4 LIFE INSURANCE AGENCY INC.; INSURANCE; START DATE: 5/2/2006 4.) Golden Flash Rentals 2, LLC; not investment related; 3732 Fishcreek Rd #226 Stow, Oh O hours spent during market hours, Investor, 1/8/2024, real estate rentals 5.) CHARLES & TERESA BARTELS; IRR TRUST; TRUSTEE TRUSTEE OR OTHER FIDUCIARY POSITION; START DATE:4/14/2008 6.) CHARLES AND TERESA BARTELS ILIT; TRUSTEE; TRUSTEE OR OTHER FIDUCIARY POSITION; START DATE: 1/1/1900 7.) INVERNESS ADVISORS INC.; DIRECT OWNER; HOLDING COMPANY OR SUB-S CORP; START DATE: 9/9/2009 8.) Gold Zone Real Estate Fund; Board member; investment related; start date: 07/01/2023 0-5 hours/month during or outside of trading; standard board duties
CRS (Client Relationship Summary) - RIA
Click below to view John Gregory Bartels's 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®
NoneExperience
Current
June 16, 2011 - Present
ANCORA PRIVATE WEALTH ADVISORS, LLC
Office #1: 6060 Parkland Boulevard Suite 200, Cleveland, OH 44124RIA
CRD#: 124845
Cleveland, OH
Current
February 12, 2018 - Present
SAFEGUARD SECURITIES, INC.
Office #1: 6060 Parkland Suite 200, Cleveland, OH 44124RIA
CRD#: 31256
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 44124BD
CRD#: 129914
Cleveland, OH
Past
May 10, 2006 - December 31, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
BEACHWOOD, OH
Past
May 2, 2006 - July 15, 2014
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BEACHWOOD, OH
Past
June 27, 2000 - May 3, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
INDEPENDENCE, OH
Past
June 19, 2000 - May 3, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
INDEPENDENCE, OH
Past
October 14, 1997 - June 19, 2000
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
August 12, 1996 - October 14, 1997
CINCINNATI ANALYSTS, INC.
BD
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".
AP
ANCORA PRIVATE WEALTH ADVISORS, LLC
ANCORA | TCG ASSET MANAGEMENT, LLC | TCG ASSET MANAGEMENT | INVERNESS INVESTMENT GROUP, LLC | ANCORA PRIVATE WEALTH ADVISORS, LLC | ANCORA INVERNESS, LLC | ANCORA FAMILY WEALTH ADVISORS, LLC | ANCORA FAMILY WEALTH ADVISORS, INC.
CRD#: 124845 / SEC#: 801-61942
RIA
Registered Investment Advisory firm - (4/3/2003 Approved)Ohio
Registered Investment Advisory firm - (4/3/2003 Terminated)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.RR
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
RR
Arizona(7/7/2014)
RR
California(7/7/2014)
IAR
Florida(8/25/2011)
RR
Florida(7/7/2014)
IAR
Illinois(6/16/2011)
RR
Illinois(7/31/2014)
RR
Indiana(3/28/2023)
RR
Kentucky(7/28/2014)
RR
Massachusetts(7/7/2014)
RR
Michigan(7/7/2014)
RR
Minnesota(7/7/2014)
RR
New Jersey(7/7/2014)
RR
New York(7/7/2014)
IAR
Ohio(6/17/2011)
RR
Ohio(7/7/2014)
IAR
Pennsylvania(9/6/2011)
RR
Pennsylvania(7/7/2014)
RR
South Carolina(7/7/2014)
RR
Texas(6/17/2022)
RR
Wisconsin(7/7/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AP
ANCORA PRIVATE WEALTH ADVISORS, LLC
ANCORA | TCG ASSET MANAGEMENT, LLC | TCG ASSET MANAGEMENT | INVERNESS INVESTMENT GROUP, LLC | ANCORA PRIVATE WEALTH ADVISORS, LLC | ANCORA INVERNESS, LLC | ANCORA FAMILY WEALTH ADVISORS, LLC | ANCORA FAMILY WEALTH ADVISORS, INC.
CRD#: 124845 / SEC#: 801-61942
RIA
Registered Investment Advisory firm - (4/3/2003 Approved)Ohio
Registered Investment Advisory firm - (4/3/2003 Terminated)Upgrade to AdvisorCheck Premium
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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
65
SEC notice filing (19 States and Territories)
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.
