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Current Employers
Kovack Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2015-01-08
  • IL RA
    APPROVED
    Since 2015-01-08

Branch Locations

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

Belleville, IL • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Kovack Securities Inc. Marietta GA 10/2014 Present
Kovack Advisors, Inc. Fort Lauderdale FL 01/2015 Present
  • 10/2014 → Present
    Kovack Securities Inc.
    Marietta, GA
  • 01/2015 → Present
    Fort Lauderdale, FL
Previous Registrations
  • 2013-01-04 → 2014-12-31
    Resource Horizons Investment Advisory, Inc.
    Belleville, IL
  • 1997-12-12 → 2012-12-31
    Gaines Financial Services, Inc.
    Belleville, IL
Other Businesses

1) FIXED INSURANCE SALES - 6 Magnolia Drive, BELLEVILLE, IL 62221; LIFE, ACCIDENT, HEALTH, PROPERTY, AND CASUALTY LICENSE IN STATE OF ILLINOIS; NON INVESTMENT RELATED; 71% OF TIME SPENT 2) SMITH & SONS FIREARMS, CO., NON INVESTMENT RELATED, FIREARMS AND SPORTING GOODS RETAIL, PRESIDENT, SINCE SEPTEMBER 2009, 20 HOURS/MTH 0 TRADING HRS,PART TIME SALES OF FIREARMS AND OUTDOOR SUPPLIES. 3) CO-TRUSTEE ON FAMILY TRUST; NON INVESTMENT RELATED; 1% OF TIME SPENT 4) NOTARY - 6 MAGNOLIA DRIVE, BELLEVILLE, IL 62221; NON-INVESTMENT RELATED; NOTARIZE CLIENT DOCUMENTS; NOTARY; LESS THAN 1% OF TIME SPENT.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-01-28
  • S63 Uniform Securities Agent State Law Examination
    1987-01-28

View on SEC IAPD

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