Rinaldo Diaz-Flores

Employer firm

Kovack Advisors, Inc. CRD 140808

$6.28B regulatory AUM 205 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Kovack Securities, Inc.
  Ft. Lauderdale, FL
• 06/2009 → Present
  Kovack Advisors, Inc.
  Ft. Lauderdale, FL

Previous Registrations

• 2002-09-16 → 2009-06-17
  Cetera Wealth Services, Llc
  Old San Juan, PR

Other Businesses

1) DBA- RD FINANCIAL SOLUTIONS CORPORATION - 510 AVE. SAN LUIS, 2ND LEVEL, ARECIBO, PR 00612; INVESTMENT RELATED; INSURANCE, ANNUITIES AND LAWFUL BUSINESS IN THE COMMONWEATH OF PUERTO RICO; PRESIDENT, SECRETARY AND TREASURER; 20% OF TIME SPENT. 2) RD FINANCIAL CONSULTING GROUP - 10 PALACIOS DEL ESCORIAL, APT 1041, CAROLINA, PR 00987; NON-INVESTMENT RELATED; SET UP FOR THE ADMINISTRATIVE AND OPERATIONAL EXPENSES FOR SECURITIES BUSINESS, AND FOR PROPERTY RENT; OWNER; 10% OF TIME SPENT.

Exams

• S63 Uniform Securities Agent State Law Examination
  2014-09-11
• S65 Uniform Investment Adviser Law Examination
  2000-03-29