Best Investors Account Sign in
Current Employers
Kovack Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2022-01-04
FL RA APPROVED 2021-12-17
  • GA RA
    APPROVED
    Since 2022-01-04
  • FL RA
    APPROVED
    Since 2021-12-17

Branch Locations

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

6100 Lake Forrest Drive Suite 340, Atlanta, GA 30328 • 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 No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii John Hancock Nashville TN 03/2016 11/2018
Royal Alliance Associates, Inc. Alpharetta GA 11/2018 12/2021
Kovack Securities, Inc. Fort Lauderdale FL 12/2021 Present
Kovack Advisors, Inc. Fort Lauderdale FL 12/2021 Present
  • 03/2016 → 11/2018
    Sii John Hancock
    Nashville, TN
  • 11/2018 → 12/2021
    Royal Alliance Associates, Inc.
    Alpharetta, GA
  • 12/2021 → Present
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 12/2021 → Present
    Fort Lauderdale, FL
Previous Registrations
Other Businesses

1) OUTSIDE INSURANCE FMO, FIG & PINNACLE - 26 W. DRY CREEK CIRLCE, SUITE 800, LITTLETON, CO 80129; INVESMENT RELATED; INSURANCE SALES; REPRESENTATIVE; 2 HOURS/MONTH OF TIME SPENT.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1981-04-07
  • S63 Uniform Securities Agent State Law Examination
    1981-04-07
Other Names
  • Charlie Rothermel

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Ft. Lauderdale, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor