Howard S. Essner

ANCORA PRIVATE WEALTH ADVISORS

Cleveland, OH 44124

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CRD#: 5763274

Professional summary

Howard Scott Essner is a registered financial advisor currently at ANCORA PRIVATE WEALTH ADVISORS, LLC located in Cleveland, Ohio and SAFEGUARD SECURITIES, INC. located in Cleveland, Ohio.

Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Howard has worked at 2 firms and has passed the Series 65 exam.

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.

Retirement plan consulting for Ancora Retirement Plan Services. Investment related. Same address as primary business. Director. Chief Legal Officer. 80 hrs per week primarily during market hours but no trading takes place.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Scott Essner'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

March 18, 2010 - Present

ANCORA PRIVATE WEALTH ADVISORS, LLC

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

RIA

CRD#: 124845

Cleveland, OH

Current

April 30, 2018 - Present

SAFEGUARD SECURITIES, INC.

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

RIA

CRD#: 31256

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 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(3/18/2010)

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

IAR

Series 65

Date: 3/17/2010

Uniform Investment Adviser Law Examination

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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Howard S. Essner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Scott Essner's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANCORA PRIVATE WEALTH ADVISORS, LLC

SAFEGUARD SECURITIES, INC.

Primary Firm SEC Registration

ANCORA PRIVATE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/2010

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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