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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:

Current Employers
Kovack Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-08
  • CA RA
    APPROVED
    Since 2025-05-08

Branch Locations

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

Cupertino, CA • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. San Francisco CA 11/2015 09/2018
Western International Securities, Inc. Pasadena CA 11/2018 05/2025
Kovack Securities, Inc. Fort Lauderdale FL 05/2025 Present
Kovack Advisors, Inc. Fort Lauderdale FL 05/2025 Present
  • 11/2015 → 09/2018
    San Francisco, CA
  • 11/2018 → 05/2025
    Western International Securities, Inc.
    Pasadena, CA
  • 05/2025 → Present
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 05/2025 → Present
    Fort Lauderdale, FL
Previous Registrations
Other Businesses

1) VARIABLE ANNUITIES - 10947 NORTHSEAL SQUARE, CUPERTINO, CA 95014; INVESTMENT RELATED; FINANCIAL ADVISOR; START DATE FEBRUARY 13, 2026; 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS; 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-11-17
  • S66 Uniform Combined State Law Examination
    1998-11-17
Other Names
  • Melissa Lin
  • Hsien Lin
  • Melissa Lin

View on SEC IAPD

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