# KOVACK ADVISORS, INC.

KOVACK ADVISORS, INC. of FT. LAUDERDALE, FL is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 140808
- Type: SEC-registered investment adviser
- SEC file number: 801-63048
- Location: 6451 N. FEDERAL HWY, SUITE 1201, FT. LAUDERDALE, FL, 33308
- Phone: 954-782-4771
- Latest filing: 2026-04-27
- Regulatory AUM: $6.3B
- Discretionary AUM: $5.1B
- Non-discretionary AUM: $1.2B
- Clients: 320
- Accounts: 20,493

## Business model

- Compensation: % of AUM, Hourly, Fixed, Other
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (15)

| Name | Role | Location |
| --- | --- | --- |
| Melinda Sue Wolfe | EXECUTIVE VICE PRESIDENT | — |
| Brian John Kovack | PRESIDENT; TRUSTEE | — |
| Cecilia Mercado | CHIEF COMPLIANCE OFFICER | Ft. Lauderdale, FL |
| Priscilla Kovack | TRUSTEE | — |
| KOVACK BRIAN JOHN | CEO; CHAIRMAN; CHIEF EXECUTIVE OFFICER (+4 more) | — |
| CUPPLES GEORGE RANDY | CHIEF COMPLIANCE OFFICER | — |
| MILLS JAMES CHRIS | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT/CCO; MANAGING DIRECTOR (+2 more) | — |
| CASTELLI PATRICK JAMES | SENIOR VICE PRESIDENT | — |
| BEWLEY MICHAEL DAVID | CHIEF OPERATING OFFICER | — |
| STEARNS CLINTON DALE | CHIEF COMPLIANCE OFFICER | — |
| WOLFE MELINDA SUE | CHIEF COMPLIANCE OFFICER; EXECUTIVE VICE PRESIDENT; SENIOR VICE PRESIDENT | — |
| ROSENFELDT SUSANNE VAISHVILA | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| KOVACK PRISCILLA | TRUSTEE | — |
| Slavik Richard Wayne | CHIEF COMPLIANCE OFFICER | — |
| MERCADO CECILIA | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (44)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-08-26 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") FOUND THAT KOVACK ADVISORS, INC. ("KAI") FAILED TO REVIEW THE ACCOUNTS OF ADVISORY CLIENTS IN ITS WRAP FEE PROGRAMS TO DETERMINE WHETHER SUCH PROGRAMS REMAINED SUITABLE FOR THOSE CLIENTS, IN ACCORDANCE WITH KAI'S DISCLOSURES TO CLIENTS AND ITS IN… | Final | $700K |
| 2022-07-13 | regulatory | IT WAS ALLEGED THAT: THE FIRM VIOLATED OR FAILED TO COMPLY WITH ANY LAWFUL ORDER BY FILING INCOMPLETE REGISTRATION MATERIALS IN VIOLATION OF SECTION 73-304(A)(12) OF THE DELAWARE SECURITIES ACT; THE FIRM FILED INCOMPLETE REGISTRATION MATERIALS IN VIOLATION OF SECTION 73-304(A)(12) OF THE DELAWARE SE… | Final | $995K |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/140808/brochure
- Similar advisers: https://search.stillhousedata.com/firm/140808/similar
- Related entities: https://search.stillhousedata.com/firm/140808/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/140808

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.