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Current Employers
Kovack Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2014-02-04
  • FL RA
    APPROVED
    Since 2014-02-04

Branch Locations

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

1560 Sawgrass Corporate Parkway Suite 405, Fort Lauderdale, FL 33323 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Kovack Securities, Inc. Fort Lauderdale FL 01/2014 Present
Kovack Advisors, Inc. Fort Lauderdale FL 01/2014 Present
  • 01/2014 → Present
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 01/2014 → Present
    Fort Lauderdale, FL
Previous Registrations
  • 2010-08-12 → 2014-01-06
    Capital Guardian Wealth Management, Llc
    Miami, FL
  • 2007-05-29 → 2009-12-17
    Miramar, FL
    Pembroke Pines, FL
    Boca Raton, FL
    Weston, FL
  • 2006-09-18 → 2007-05-29
    Citicorp Investment Services
    Weston, FL
  • 2001-02-26 → 2006-08-08
    Banc Of America Investment Services, Inc.
    Fort Lauderdale, FL
    Pembroke Pines, FL
Other Businesses

1) DBA: ESSENTIAL FINANCIAL AND INSURANCE SERVICES - 1560 Sawgrass Corporate parkwaw, 4th Floor, suite 405, Fort Lauderdale, FL 33323; FIXED INDEX ANNUITIES, FIXED INSURANCE LIFE INSURANCE SOLD AS RECOMMENDATIONS AND PART OF RETIREMENT PLANS TO STATE EMPLOYEES; INVESTMENT RELATED; PRESIDENT/FOUNDER/FINANCIAL ADVISOR; TO EDUCATE & ASSIST STATE EMPLOYEES & FEDERAL EMPLOYEES WITH THEIR RETIREMENT PLANNING; 25% OF TIME SPENT 2) FIXED INSURANCE SALES - 1560 Sawgrass Corporate parkwaw, 4th Floor, suite 405 , Fort Lauderdale, FL 33323; FIXED INSURANCE AND FIXED EQUITY INDEX ANNUITIES; NON INVESTMENT RELATED; FINANCIAL ADVISOR; PLANNING RETIREMENT, SAVINGS, AND WEALTH ACCUMULATION; 20% OF TIME SPENT 3) PROPERTY RENTAL - 2534 GOLF VIEW DRIVE, WESTON, FL 33327; OWNER OF HOME, RECEIVING RENTAL INCOME FROM PROPERTY; PROPERTY OWNER; LANDLORD; NON-INVESTMENT RELATED; 1% OF TIME SPENT. 4) VALLE SOLUTIONS - 1560 SAWGRASS CORPORATE PARKWAY 4TH FLOOR FORT LAUDERDALE, FL 33323; MANAGER/OWNER; MANAGEMENT OF PERSONALLY OWNED REAL ESTATE PROPERTIES; NON-INVESTMENT RELATED; <1% OF TIME SPENT 5) MEDICARE SUPPLEMENT SALES - 1560 SAWGRASS CORPORATE PARKWAY, FL; AGENT; OFFER MEDICARE SUPPLEMENT COVERAGE; NON-INVESTMENT RELATED ACTIVITY; 10% OF TIME SPENT 6) ASSISTANCE OF AN ESTATE DISTRIBUTION - 1560 SAWGRASS CORPORATE PARKWAY, FL; INVESTMENT RELATED; ASSISTING WITH THE FINANCIAL AND DISTRIBUTION FOR MY CLIENT THAT IS THE ADMINISTRATOR OF THE ESTATE; ADVISOR; % OF TIME VARIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-02-26
S63 Uniform Securities Agent State Law Examination 1994-05-09
  • S65 Uniform Investment Adviser Law Examination
    2002-02-26
  • S63 Uniform Securities Agent State Law Examination
    1994-05-09

View on SEC IAPD

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