Carlos C Garcia

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

Authority	Category	Status	Date
SC	RA	APPROVED	2024-01-08
TX	RA	APPROVED_RES	2019-02-22
CT	RA	APPROVED	2012-10-19

SC RA
APPROVED

Since 2024-01-08
TX RA
APPROVED_RES

Since 2019-02-22
CT RA
APPROVED

Since 2012-10-19

Branch Locations

Westport, CT • United States

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

Disclosures

3 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Kovack Securities, Inc.	Ft. Lauderdale	FL	10/2012	Present
Kovack Advisors, Inc.	Ft. Lauderdale	FL	10/2012	Present

10/2012 → Present

Kovack Securities, Inc.

Ft. Lauderdale, FL
10/2012 → Present

Kovack Advisors, Inc.

Ft. Lauderdale, FL

Previous Registrations

2004-08-24 → 2012-08-21

Msi Financial Services, Inc.

Shelton, CT

Norwalk, CT

Norwalk, CT
2000-10-12 → 2004-09-30

Four Seasons Asset Management Inc

Westport, CT
2000-10-25 → 2004-03-09

First Montauk Securities Corp.

Westport, CT

Other Businesses

1) FIXED INSURANCE - 51 REICHERT CIRCLE, WESTPORT, CT 06880, FIXED INDEX ANNUITY & LIFE INSURANCE, SALES AGENT, 20% OF TIME SPENT. 2) HEALTH AND GROUP BENEFITS SALES - 51 REICHERT CIRCLE, WESTPORT, CT 06880, HEALTH INSURANCE SALES AND GROUP BENEFITS (HEALTH, DENTAL GROUP LIFE SALES), SALES AGENT, 10% OF TIME SPENT. 3) FIXED INSURANCE SALES - 51 REICHERT CIRCLE, WESTPORT, CT 06880; TERM AND WHOLE LIFE INSURANCE AND LONG TERM CARE INSURANCE (GENWORTH LIFE, MASS MUTUAL LIFE, AXA LIFE); NON-INVESTMENT RELATED; ADVISOR; PRESENTING AND SELLING LIFE INSURANCE; 5% OF TIME SPENT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-09-06
S63	Uniform Securities Agent State Law Examination	2000-07-27

S65 Uniform Investment Adviser Law Examination

2000-09-06
S63 Uniform Securities Agent State Law Examination

2000-07-27

Other Names

Carlos Garcia

View on SEC IAPD