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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-06-29 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kovack Securities, Inc. | Fort Lauderdale | FL | 06/2010 | 08/2021 |
| Kovack Advisors, Inc. | Fort Lauderdale | FL | 06/2010 | 08/2021 |
| Guardian Planners | Dubois | PA | 02/2002 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: OWNER START DATE: 5/1998 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES AND SERVICING OF FIXED ANNUITY PRODUCTS; 2. NAME OF OTHER BUSINESS: GUARDIAN PLANNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL SERVICES AND SALE OF FIXED INSURANCE PRODUCTS START DATE: 2/2002 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: MARKETING FINANCIAL SERVICES AND SOLICITATION AND SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: CHUCKONOMICS BOOK INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: BOOK SALES START DATE: 7/2018 POSITION/TITLE/RELATIONSHIP: AUTHOR APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I WROTE THE BOOK PRIMARILY AS A MARKETING PIECE TO HELP DESCRIBE MY THOUGHTS ON INVESTMENTS AND INVESTMENT PHILOSOPHIES; 4. NAME OF OTHER BUSINESS: TRUTH IN POLITICS PAC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: TO PROMOTE A CONSTITUTIONAL AMENDMENT, STATE AND FEDERAL, THAT PROVIDES FOR SEVERE PENALTIES TO POLITICIANS WHO COMMIT A MATERIAL LIE THAT HAS AN IMPACT ON AN ELECTION OUTCOME OR PUBLIC POLICY. START DATE: 6/2020 POSITION/TITLE/RELATIONSHIP: PRESIDENT; SECRETARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: I OBTAINED APPROVAL FOR THIS ACTIVITY FROM MY CURRENT BD BECAUSE I AM IN THE PROCESS OF ESTABLISHING IT, AND WANTED TO MAKE SURE I COULD DO IT BEFORE MAKING THE COMMITMENT TO IT. CURRENTLY IT ISN'T EVEN REGISTERED - IT'S AN IDEA THAT I WANT TO PURSUE. I WILL BE ESTABLISHING THE NON-PROFIT PAC, AND EVENTUALLY HAVE A BOARD, DO FUND RAISING, AND ENGAGE IN POLITICAL ACTIVITIES; 5. NAME OF OTHER BUSINESS: DUBOIS CONTINUUM OF CARE; INVESTMENT RELATED: NO; ADDRESS: 212 S EIGHTH ST DUBOIS, PA 15801; NATURE OF BUSINESS: NURSING CARE BOARD; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, OVERSEE ACTIVITIES OF THE FACILITY;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-21 |
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