Michael Clarence Ferrin

Current Employers

Compass Financial Management Llc

2422 W. Sunset Drive, Tampa, FL 33629 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2023-06-07

NC RA
APPROVED

Since 2023-06-07

Branch Locations

Clemmons, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Kovack Securities, Inc.	Pompano Beach	FL	10/2001	06/2023
Kovack Advisors, Inc	Ft. Laud.	FL	05/2008	06/2023
Compass Financial Management	Clemmons	NC	06/2023	Present

10/2001 → 06/2023

Kovack Securities, Inc.

Pompano Beach, FL
05/2008 → 06/2023

Kovack Advisors, Inc

Ft. Laud., FL
06/2023 → Present

Compass Financial Management

Clemmons, NC

Previous Registrations

2008-06-17 → 2023-06-07

Kovack Advisors, Inc.

Ft. Lauderdale, FL

Sunrise, FL

Oviedo, FL

Clemmons, NC

Other Businesses

1) DBA: PINNACLE INSURANCE AND INVESTMENTS, INC. SECURITIES AND FIXED INSURANCE, INVESTMENT RELATED, PRESIDENT, SALES AND SERVICE, 100% OF TIME SPENT, COMPENSATED BY COMMISSION. 2) FIXED INSURANCE THROUGH PINNACLE INSURANCE AND INVESTMENTS - SALES OF FIXED INSURANCE, 10 hours monthly, COMPENSATED BY COMMISSIONS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-05-20
S63	Uniform Securities Agent State Law Examination	2008-04-30

S65 Uniform Investment Adviser Law Examination

2008-05-20
S63 Uniform Securities Agent State Law Examination

2008-04-30

View on SEC IAPD