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Current Employers
Kovack Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2020-06-17
  • AL RA
    APPROVED
    Since 2020-06-17

Branch Locations

1110 Montlimar Dr Suite 170, Mobile, AL 36609 • United States

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

Disclosures

2 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
American National Insurance Company Galveston TX 08/1982 Present
M & B Research Mobile AL 10/1991 Present
Nationwide Investment Services Corporation Columbus OH 12/1993 05/2018
Nationwide Investment Advisors, Llc Columbus OH 12/2006 05/2018
Kovack Securities, Inc. Fort Lauderdale FL 06/2019 Present
Kovack Advisors, Inc. Fort Lauderdale FL 06/2020 Present
  • 08/1982 → Present
    American National Insurance Company
    Galveston, TX
  • 10/1991 → Present
    M & B Research
    Mobile, AL
  • 12/1993 → 05/2018
    Nationwide Investment Services Corporation
    Columbus, OH
  • 12/2006 → 05/2018
    Columbus, OH
  • 06/2019 → Present
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 06/2020 → Present
    Fort Lauderdale, FL
Previous Registrations
  • 2006-12-05 → 2018-06-25
    Columbus, OH
  • 2006-08-18 → 2006-12-05
    Nationwide Investment Services Corporation
    Jenkintown, PA
    Pike Road, AL
    Montgomery, AL
    Montgomery, AL
    Boca Raton, FL
    Boca Raton, FL
Other Businesses

1)DBA-MCGRAW FINANCIAL SERVICES, INC.-1110 MONTIMAR DRIVE, SUITE 120, MOBILE, AL 36609; INVESTMENT RELATED; SELLING INVESTMENT PRODUCTS; OWNER; 80% OF TIME SPENT. 2) FIXED INSURANCE-1110 MONTIMAR DRIVE, SUITE 120, MOBILE, AL 36609; NON-INVESTMENT RELATED; SELLING FIXED INSURANCE CONTRACTS TO EXISTING CLIENTS; OWNER; 1% OF TIME SPENT. 3) INSURANCE-1110 MONTIMAR DRIVE, SUITE 120, MOBILE, AL 36609; NON-INVESTMENT RELATED; INSURANCE SALES; OWNER; 5% OF TIME SPENT. 4) POA & TRUSTEE FOR REGINA MCGRAW - 1110 MONTIMAR DRIVE, SUITE 120, MOBILE, AL 36609; START DATE MARCH 6, 2019; NON-INVESTMENT RELATED; 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS; 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-02
S63 Uniform Securities Agent State Law Examination 1996-01-30
  • S65 Uniform Investment Adviser Law Examination
    2006-06-02
  • S63 Uniform Securities Agent State Law Examination
    1996-01-30

View on SEC IAPD

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