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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-29 |
| UT | RA | APPROVED | 2023-06-29 |
Branch Locations
1361 N 1075 W Suite 15, Farmington, UT 84025 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kovack Securities, Inc. | Ft. Lauderdale | FL | 01/2008 | 05/2022 |
| R.K. Advisors | Ft. Lauderdale | FL | 01/2008 | 05/2022 |
| Unemployed | Kaysville | UT | 05/2022 | 07/2022 |
| Amazon Flex | Kaysville | UT | 08/2022 | 08/2022 |
| Unemployed | Kaysville | UT | 09/2022 | 01/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2023 | Present |
| Summit View Partners, Llc | Farmington | UT | 02/2023 | Present |
| Down'S Wealth Management, Llc | Kaysville | UT | 02/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Peak Financial Network Solutions, Llc | Murray | UT | 12/2024 | Present |
| Kaizen Capital Llc | Farmington | UT | 11/2024 | Present |
1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 03/2023, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE 2.NAME OF OTHER BUSINESS: SUMMIT VIEW PARTNERS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2023, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3.NAME OF OTHER BUSINESS: SUMMIT VIEW FINANCIAL, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2020, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4.NAME OF OTHER BUSINESS: DOWN'S WEALTH MANAGEMENT, LLC , INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT START DATE: 02/2023, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC FOR BUSINESS EXPENSE MANAGEMENT; 5. NAME OF OTHER BUSINESS: JBJ HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OFFICE BUILDING; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OFFICE BUILDING TO HOUSE FINANCIAL PLANNING BUSINESS; 6. NAME OF OTHER BUSINESS: PEAK FINANCIAL NETWORK SOLUTIONS, LLC, INVESTMENT RELATED: YES, ADDRESS: 114 W. WINCHESETER, MURRAY, UT 84107, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: ENTITY THAT OVERSEES BROKERS/ADVISORS UNDER CETERA IN OUR REGION; 7. NAME OF OTHER BUSINESS: KAIZEN CAPITAL LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: HOLDING COMPANY, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: ENTITY IS LLC TO HOLD OWNERSHIP SHARES OF PEAK FINANCIAL NETWORK SOLUTIONS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 2007-09-28 |
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