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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

AuthorityCategoryStatusDate
LA RA APPROVED 2023-04-21
TX RA APPROVED_RES 2023-04-17
CA RA APPROVED 2017-05-19
  • LA RA
    APPROVED
    Since 2023-04-21
  • TX RA
    APPROVED_RES
    Since 2023-04-17
  • CA RA
    APPROVED
    Since 2017-05-19

Branch Locations

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

350 S. Hope Avenue Suite A-200, Santa Barbara, CA 93105 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Tkg Financial, Llc (Name Change Only) Santa Barbara CA 05/2015 05/2017
Kovack Securities, Inc. Fort Lauderdale FL 05/2017 Present
Kovack Advisors, Inc Fort Lauderdale FL 05/2017 Present
  • 05/2015 → 05/2017
    Tkg Financial, Llc (Name Change Only)
    Santa Barbara, CA
  • 05/2017 → Present
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 05/2017 → Present
    Fort Lauderdale, FL
Previous Registrations
  • 2005-06-15 → 2017-05-20
    Tkg Financial, Llc
    Santa Barbara, CA
    Santa Barbara, CA
    Montecito, CA
Other Businesses

1) DBA: TKG FINANCIAL, LLC - 350 S. HOPE AVENUE, SUITE A-200, SANTA BARBARA, CA 93105; BUSINESS, STOCKS, BONDS, MUTUAL FUNDS, AND AI'S; INVESTMENT ADVISOR; PARTNER; OVERSEEING THE OPERATIONS OF THE PARTNERSHIP; 98% OF TIME SPENT 2) THE KELT INC - 1459 VINCENTI PLACE, SANTA BARBARA, CA 93108; REAL ESTATE AND INVESTMENTS FOR FAMILY; OWNER/OPERATOR; <1% OF TIME SPENT 3) KELT OSBORNE & CO - SANTA BARBARA, CA 93108; NON-INVESTMENT RELATED; PROPERTY MANAGEMENT IN ORCUTT, CA; <1% OF TIME SPENT

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-01-06
  • S63 Uniform Securities Agent State Law Examination
    1984-01-06
Other Names
  • Landon Keith Kelt

View on SEC IAPD

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