Lisa Rosenthal

ANCORA PRIVATE WEALTH ADVISORS | Financial Advisor

Cleveland, OH 44124

Some features on this profile are disabled

CRD#: 5450876

Professional summary

Lisa Rosenthal, CFP®, who also goes by Lisa Susan Bader, Lisa Bader Rosenthal, is a registered financial advisor currently at ANCORA PRIVATE WEALTH ADVISORS, LLC located in Cleveland, Ohio and INVERNESS SECURITIES, LLC located in Cleveland, Ohio.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Lisa has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Lisa Susan Bader | Lisa Bader Rosenthal

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.

I*1103263 For profit or not for profit: Entity Charitable Name of outside business organization: Lake Erie Ink Investment related: N Address of business: Cleveland Heights, Ohio Nature of business: ["Charitable Organization"] Position, title, association: ["Committee"], [["Fundraising committee"]] Start date of relationship: 1/1/2023 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , To serve on the Committee to help plan the big annual fundraiser. Responsibilities may include organizing teams, reaching out to donors and asking organizations for donations for the fundraising event, and helping run the event.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Rosenthal'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

March 5, 2024 - Present

ANCORA PRIVATE WEALTH ADVISORS, LLC

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

RIA

CRD#: 124845

Cleveland, OH

Current

January 2, 2024 - Present

INVERNESS SECURITIES, LLC

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

CRD#: 129914

Cleveland, OH

Past

September 30, 2020 - December 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PEPPER PIKE, OH

Past

September 29, 2020 - December 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PEPPER PIKE, OH

Past

October 18, 2017 - September 28, 2020

MCDONALD PARTNERS LLC

RIA

CRD#: 135414

CLEVELAND, OH

Past

October 18, 2017 - September 28, 2020

MCDONALD PARTNERS LLC

CRD#: 135414

CLEVELAND, OH

Past

January 21, 2016 - October 20, 2017

MORGAN STANLEY

RIA

CRD#: 149777

CLEVELAND, OH

Past

January 6, 2016 - October 20, 2017

MORGAN STANLEY

CRD#: 149777

CLEVELAND, OH

Past

February 18, 2008 - December 22, 2015

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, 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

Ohio
(1/5/2024)

IAR

Ohio
(3/5/2024)

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: 2/22/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/2008

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: 2/14/2008

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Boris Kagarlitskiy

KEY INVESTMENT SERVICES LLC

IAR

University Heights, OH

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lisa Rosenthal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Rosenthal's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVERNESS SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MCDONALD PARTNERS LLC

MCDONALD PARTNERS LLC

MORGAN STANLEY

MORGAN STANLEY

VICTORY CAPITAL SERVICES, INC.

Primary Firm SEC Registration

ANCORA PRIVATE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2016

Series 63

Date: 12/8/2008

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2008

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

Contact information

Similar Advisors