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6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-08-11 |
Branch Locations
2284 N. Glassell Street Suite G, Orange, CA 92865 • United States
6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308 • United States
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 |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Irvine | CA | 07/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Irvine | CA | 11/2016 | 11/2020 |
| Kovack Advisors, Inc. | Fort Lauderdale | FL | 11/2020 | Present |
| Kovack Securities, Inc. | Fort Lauderdale | FL | 02/2022 | Present |
1) DBA-CAPITAL GAINS FINANCIAL SERVICES- 2284 N. GLASSELL STREET, SUITE G, ORANGE, CA 92865; INVESTMENT RELATED; LIFE INSURANCE; PRESIDENT; 10% OF TIME SPENT. 2) CAPITAL GAINS TAX ADVISORY- 2284 N. GLASSELL STREET, SUITE G, ORANGE, CA 92865; NON-INVESTMENT RELATED; TAX PREP AND ACCOUNTING SERVICES; START DATE MAY 29, 2025; PRESIDENT & CEO; 100 HOURS/MONTH DEVOTED TO OTHER BUSINESS; 40 HOURS/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 3) ROSSMOOR PROPERTIES, LLC- 3113 S LINDA WAY, SANTA ANA, CA 92704; NON-INVESTMENT RELATED; REAL ESTATE INVESTMENT; OWNER; 10% OF TIME SPENT.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-25 |
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