Aaron Leon Swanier

Current Employers

Kovack Advisors, Inc.

6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2023-04-21
GA	RA	APPROVED	2015-01-08

LA RA
APPROVED

Since 2023-04-21
GA RA
APPROVED

Since 2015-01-08

Branch Locations

Atlanta, GA • United States

6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308 • 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
Ag Edwards And Sons, Inc.	St Louis	MO	06/2005	Present
Kovack Securities Inc.	Atlanta	GA	10/2014	Present
Kovack Advisors, Inc.	Fort Lauderdale	FL	01/2015	Present

06/2005 → Present

Ag Edwards And Sons, Inc.

St Louis, MO
10/2014 → Present

Kovack Securities Inc.

Atlanta, GA
01/2015 → Present

Kovack Advisors, Inc.

Fort Lauderdale, FL

Previous Registrations

2008-01-02 → 2014-12-31

Resource Horizons Investment Advisory, Inc.

Atlanta, GA
2005-08-25 → 2007-11-19

A. G. Edwards & Sons, Inc.

Atlanta, GA

Atlanta, GA

Other Businesses

1) AARON SWANIER DBA CHIEF INVESTMENT GROUP, ATLANTA GA. THIS IS AN INVESTMENT RELATED ACTIVITY AS A FINANCIAL ADVISOR. APPROXIMATLEY 40 HOURS IS SPENT IN COMMISSION OF THIS ACTIVITY AND 2.5 HOURS DURING TRADING TIME. 2) CO-ADMINISTRATOR FOR DAD'S ESTATE- 1777 BOULDER WALK LN SE, ATLANTA, GA 30316; NON-INVESTMENT RELATED; HELP CLOSE OUT DAD'S ESTATE; CO-ADMINSTRATOR; 0.5% OF TIME SPENT.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-08-19

S66 Uniform Combined State Law Examination

2005-08-19

View on SEC IAPD