Todd Clayton Graham

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
LA	RA	APPROVED	2021-11-01
TX	RA	APPROVED	2021-11-01

LA RA
APPROVED

Since 2021-11-01
TX RA
APPROVED

Since 2021-11-01

Branch Locations

Houston, TX • United States

6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Sws Financial Services	Houston	TX	03/1999	11/2021
Kovack Securities, Inc.	Fort Lauderdale	FL	11/2021	Present
Kovack Advisors, Inc.	Fort Lauderdale	FL	11/2021	Present

03/1999 → 11/2021

Sws Financial Services

Houston, TX
11/2021 → Present

Kovack Securities, Inc.

Fort Lauderdale, FL
11/2021 → Present

Kovack Advisors, Inc.

Fort Lauderdale, FL

Previous Registrations

1999-03-10 → 2021-11-29

Momentum Independent Network Inc.

Houston, TX

Houston, TX

Houston, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-16
S63	Uniform Securities Agent State Law Examination	1995-11-16

S65 Uniform Investment Adviser Law Examination

1999-12-16
S63 Uniform Securities Agent State Law Examination

1995-11-16

Other Names

Todd Clayton Graham
Todd Graham

View on SEC IAPD