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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2024-08-08 |
| TX | RA | APPROVED | 2024-08-07 |
Branch Locations
280 Hernando Street 2Nd Floor, Memphis, TN 38126 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kovack Securities, Inc. | Fort Lauderdale | FL | 09/2002 | 08/2024 |
| Kovack Advisors, Inc. | Ft. Lauderdale | FL | 08/2006 | 08/2024 |
| Cetera Advisors Llc | St Cloud | MN | 08/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2024 | Present |
1.NAME OF OTHER BUSINESS: FIXED INSURANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 07/1994 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: INSURANCE SERVICES 2. NAME OF OTHER BUSINESS: JONES WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2001 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS 3. NAME OF OTHER BUSINESS: MEMPHIS ROCK-N-SOUL MUSEUM INVESTMENT RELATED: NO ADDRESS: 191 BEALE ST MEMPHIS, TN 38103 NATURE OF BUSINESS: COMMUNITY SERVICE START DATE:01/2014 APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: .5 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER BRIEF DESCRIPTION OF DUTIES: OVERSIGHT 4. NAME OF OTHER BUSINESS: HOWARD UNIVERSITY ALUMNI CLUB OF GREATER MEMPHIS INVESTMENT RELATED: NO ADDRESS: 2400 6TH STREET, NW WASHINGTON DC 20059 NATURE OF BUSINESS: COMMUNITY SERVICE START DATE: 01/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: TREASURER BRIEF DESCRIPTION OF DUTIES: REPORT ON FINANCIAL TRANSACTIONS OF ORGANIZATION 5. NAME OF OTHER BUSINESS: SIGMA PI PHI FRATERNITY INVESTMENT RELATED: NO ADDRESS: 1450 POPLAR AVENUE MEMPHIS, TN 38104 NATURE OF BUSINESS: COMMUNITY SERVICE START DATE: 01/2024 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: TREASURER BRIEF DESCRIPTION OF DUTIES: REPORT ON FINANCIAL TRANSACTIONS OF ORGANIZATION; 6. NAME OF OTHER BUSINESS: COMMUNITY LEGAL CENTER, INVESTMENT RELATED: NO, ADDRESS: 80 MONROE AVENUE, STE. 415, MEMPHIS, TN 38013, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: SERVING ON THE BOARD OF DIRECTORS FOR THE NON-PROFIT ORGANIZATION PROVIDING OVERSIGHT AND GOVERNANCE DUTIES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-31 |
| S66 | Uniform Combined State Law Examination | 2000-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-15 |
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