Ancora Securities, Inc.

Strength, Stability, and Focus

BROKER DEALER OVERVIEW

Your Financial Adviser isn't working alone. There are many dedicated people working together with experience, skill, and determination, to provide a complete platform for you and your advisor. To help manage your financial assets, Ancora Securities provides the support tools, operational functions, and people who offer easy-tounderstand answers to the questions you have about your account today, and the financial services that you may need tomorrow. Our primary goal is to make certain that your Financial Adviser receives the personal attention required to make your investment experience with us an exceptional one. Through Ancora Securities, your Financial Adviser can provide well-researched investment advice, a diversified asset management product mix, expert-level performance reporting, banking services, online access, insurance and estate planning. These varied services are coordinated to ensure your best interests and financial goals are met. It is the objective of both Ancora Securities and your Adviser to ensure that your needs are served today and the financial well being of your heirs is met in the future. Our firm has earned a reputation as a service leader, maintaining the highest levels of professional integrity, and building long-term relationships based on mutual respect and strict adherence to the fundamental principles of trust.

The Services and Organizations Standing Behind your Accounts

Diversified Product Offering:
Stocks, Options, Mutual Funds Fixed Income & Municipals Life Insurance Cash Management Fixed & Variable Annuities Fee Based Management Services Financial & Estate Planning College Savings Plans Banking Services IRAs and 401(k) Plans

Ancora Securities Ancora Securities is an introducing broker dealer to Bank of New York - Pershing, LLC. Ancora Securities and its principals have been affiliated with Pershing for over 25 years. Ancoras broker dealer offers a broad suite of financial products and services to Registered Investment Advisors, Hedge Funds, and other smaller Broker Dealers. Ancoras focus is to serve the operational requirements of these institutional clients. These requirements include Account Services, Compliance, Execution, Clearing, Advanced Reporting, and Technology. All Ancora Securities employee are FINRA licensed and pride themselves on delivering a complete, personalized experience for our registered representatives and institutional clients. Our smaller size and flexibility gives Ancora the ability to expedite all account requests with first class service. Ancora clears exclusively through Pershing LLC who offers custody, consolidated customer statements, account protection*, comprehensive tax basis reporting, innovative products and trading services for your account.

Bank of New York Mellon - Pershing, LLC. Pershing has been a leading provider of financial services for over 70 years. Their focus is on safekeeping services and providing accurate, easy to understand, statements to their customers and correspondent broker dealers. . Pershing is well capitalized and their financial ratios exceed those financial ratios required by regulators. Pershing is also provides a robust online system to clients with up to the minute updates in shares, asset prices, and cash balances all accounts. Pershings parent company Bank of New York is one of the worlds strongest global financial institutions. Bank of New York Mellon ranks among the top financial service companies with a market capitalization of more than 30 billon in assets. BNY Mellon also hold over 20 trillion in assets under custody and administration. For more information please refer to the following websites. www.bnymellon.com & www.pershing.com * Neither Pershing nor Ancora protect your account from the risk of market losses

Ancora Securities Management Team

Christopher Barone President Gary George Financials Principal David Kuhr Compliance Assistant Robin VanBurik Back Office Principal Robert Armagno Trading & Reports Corwin Kates Account Services

Member FINRA, SIPC www.ancorasecurities.com