KOVACK ADVISORS, INC. of FT. LAUDERDALE, FL is an SEC-registered investment adviser (CRD 140808). Regulatory assets under management: $6.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| 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 | — |
| 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 | — | — | — |
Showing 15 of 24 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| ABERDEEN | SD | 5 | (605) 225-1047 |
| MARIETTA | GA | 5 | (770) 319-1700 |
| SAN JUAN | PR | 4 | (787) 919-7554 |
| ADEL | GA | 4 | (229) 896-2453 |
| SANTA BARBARA | CA | 4 | (805) 962-2900 |
| SAN JUAN | PR | 4 | (787) 523-4383 |
| CORAL SPRINGS | FL | 3 | (954) 906-5440 |
| SAN JUAN | PR | 3 | (787) 758-8234 |
| GUAYNABO | PR | 3 | (787) 936-2200 |
| PLYMOUTH | MA | 2 | (508) 747-0555 |
| LIVINGSTON | NJ | 2 | (973) 548-8070 |
| MIAMI | FL | 2 | (305) 682-0209 |
| EVANSVILLE | IN | 2 | (812) 473-9890 |
| FLORAL PARK | NY | 2 | (516) 352-8800 |
| FORT LAUDERDALE | FL | 2 | (954) 358-6266 |