Denis J. Amato

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CRD#: 2944739

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Denis James Amato, who also goes by Denis Amato, was a registered financial professional .

Denis is a previously registered financial professional and started their career in finance in 2000. Denis had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Denis Amato

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.

WOODSTOCK RESTAURANTS, INC. OPERATING AS DAVE'S COSMIC SUBS (A SANDWICH SHOP). I AM A 25% OWNER. I DEVOTE APPROXIMATELY 8 HOURS A MONTH TO THIS ACTIVITY, NONE DURING DURING SECURITIES TRADING HOURS. MACE - DIRECTOR; 10-20 HOURS PER MONTH; SOME DURING THE WORK DAY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2006 - June 7, 2022

ANCORA ADVISORS LLC

RIA

CRD#: 124674

MAYFIELD HEIGHTS, OH

Past

June 9, 2006 - September 5, 2013

AMERICA NORTHCOAST SECURITIES, INC.

CRD#: 16076

CLEVELAND, OH

Past

December 15, 2001 - May 12, 2005

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

June 6, 2000 - December 15, 2001

FIFTH THIRD/MAXUS SECURITIES INC

CRD#: 6790

CLEVELAND, 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 ADVISORS LLC

ANCORA | NONE | ANCORA ADVISORS LLC

CRD#: 124674 / SEC#: 801-61770

RIA

Registered Investment Advisory firm - (1/30/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 3/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/5/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/21/2000

General Securities Principal Examination

Current Firm

ANCORA ADVISORS LLC

ANCORA | NONE | ANCORA ADVISORS LLC

CRD#: 124674 / SEC#: 801-61770

RIA

Registered Investment Advisory firm - (1/30/2003 Approved)

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Contact information

Main Address

6060 Parkland Boulevard Suite 200, Mayfield Heights, OH 44124

Mailing Address

Phone number

(216) 825-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

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

Regulatory assets under management

Total Number of Accounts	313
AUM (Assets Under Management)	$ 4,478,947,496

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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Firm Stability Insights

Denis J. Amato

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANCORA ADVISORS LLC

AMERICA NORTHCOAST SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD/MAXUS SECURITIES INC

Primary Firm SEC Registration

ANCORA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/18/2002

Series 7

Date: 6/5/2000

Series 24

Date: 8/21/2000

Current Firm

ANCORA ADVISORS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANCORA ADVISORS LLC

TRUST BUT VERIFY

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