# KOVACK ADVISORS, INC.

> FINRA firm 140808 · ACTIVE · **⚠ HAS DISCLOSURE EVENTS** · FT. LAUDERDALE, FL

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 140808
- **Firm name:** KOVACK ADVISORS, INC.
- **Other names:** 16:10 FINANCIAL, YOUNG WEALTH MANAGEMENT, YES FINANCIAL SERVICES, YERMAK FINANCIAL ADVISORS, INC., WRIGHT FINANCIAL CONCEPTS, LLC, WORTH AVE WEALTH MANAGEMENT, WESTON FINANCIAL ADVISORS LLC, WEST INDIES WEALTH MANAGEMENT, WEALTH ADVISORS GROUP INC., WEALTH & ESTATE BUILDERS LLC, VANDERWAAL GROUP, INC, VALUE INVESTMENT SERVICES, TRUE NORTH FINANCIAL ADVISORS, TKG FINANCIAL, LLC, THOMPSON WEALTH MANAGEMENT, THE PENSION GROUP, THE ENTERPRISE TEAM, THE DGR GROUP, THE AGBAY GROUP LLC, TAMPA 401K SPECIALISTS, TACTICAL INVESTMENT MANAGEMENT, INC., SUNWEALTH MANAGEMENT, SUMMIT FINANCIAL SERVICES, INC., STRATEGIES TO MAXIMIZE WEALTH, STRATEGIC PLANNING PARTNERS, LLC, STEWART FINANCIAL MANAGEMENT, INC., STAVRIANOPOULOS CAPITAL INC., SPECTRUM PLANNING GROUP, SMUNK LAYDON PRIVATE CLIENT GROUP, SMITH FINANCIAL & INSURANCE SOLUTIONS, SMC FINANCIAL SERVICES, SHASTA INVESTMENTS & ASSET MANAGEMENT, SCHEIRER WEALTH MANAGEMENT, SAA FINANCIAL LLC, RUMBLE & RUMBLE WEALTH MANAGEMENT, ROMERO INVESTMENT ADVISORS, LLC, ROCKEFELLER AND ASSOCIATES, LLC, RK ADVISORS, INC., RALPH J. FETROW CONSULTING, R.K. ADVISORS, INC, PURSUIT WEALTH MANAGEMENT, PRM FINANCIAL SERVICES, PRIVATE WEALTH MANAGEMENT TREUST, LLC, POWER FINANCIAL SERVICES, PENNEY WISE WEALTH ADVISORS, LLC, PENN RISE ADVISORS, LLC, PATAGONIA FINANCIAL SERVICES, LLC, OXFORD RISK MANAGEMENT GROUP, OVERTURE INC., OVERTURE ASSET MANAGEMENT, ORLANDO 401K SPECIALISTS, OIG WEALTH MANAGEMENT, OAK TREE GROUP, NICHOLAS FINANCIAL SERVICES, LLC, NEIL J. GLICKMAN & ASSOCIATES, INC., MOUTON WEALTH MANAGEMENT, MELISSA MATSON LLC, MEISTER & ASSOCIATES LLC, MDN, INC., MCM INVESTMENTS, MCCAULEY FINANCIAL SERVICES, LLC., MCAPLIN FOSTER ADVISORS, M.A. NEAL FINANCIAL SERVICES, LMT RETIREMENT, LLC, LINDNER CAPITAL ADVISORS, INC., LEGACY FINANCIAL NETWORK, LLC., LBS WEALTH ADVISORS, LAZARI CAPITAL MANAGEMENT, INC., LAZARI ASSET MANAGEMENT, INC, L.C. FINANCIAL SERVICES, KOVACK ADVISORS, INC., KOEHLER WEALTH MANAGEMENT, KAC FINANCIAL SERVICES, INC., JOHN URY TOTAL FINANCIAL SERVICES, INC., JOHN P. FREUND LLC, JACKSONVILLE 401K SPECIALISTS, IVERSON WEALTH MANAGEMENT, LLC, HIGHLAND PATH FINANCIAL GROUP, LLC., HG THOMAS WEALTH MANAGEMENT, LLC, HEDRICK PLANNING, HARBORVIEW INVESTMENTS, HALSEY AND COMPANY ADVISORY SERVICES, LLC, GULF COAST FINANCIAL STRATEGIES, GUARDIAN PLANNERS, GREEP WEALTH MANAGEMENT, LLC, GOVERNMENT & PENSION CONSULTANTS, INC., GM FINANCIAL PLANNING, GERSON WEALTH MANAGEMENT LLC, GC WEALTH MANAGEMENT, LLC, GAVIX INVESTMENT MANAGEMENT, LLC, GANDY FINANCIAL GROUP, GAMMAN MANAGEMENT COMPANY, G V INVESTMENTS & RETIREMENT SOLUTIONS, FOUNTAIN FINANCIAL SERVICES, FOSTER FINANCIAL SERVICES, FOCUS ON FINANCIAL LLC, FLORIDA 457 SPECIALISTS, FIRST ASSET MANAGERS, INC., FINANXIAL ASSET MANAGEMENT, FINANCIAL PLAN ADVISORS, FINANCIAL DESTINY, INC., FERNANDEZ WEALTH MANAGEMENT, FCG WEALTH MANAGEMENT, FCG GROUP BENEFITS, FARO INVESTMENT MANAGEMENT, ESSENTIAL FINANCIAL SOLUTIONS, INC., ESSENTIAL FINANCIAL AND INSURANCE SERVICES, ENGLAND FINANCIAL SERVICES, EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC., DTY WEALTH PLANNING SOLUTIONS, DOWD FINANCIAL GROUP, INC., DONALD G. FOREMAN & CO. CPAS, DELUCA WEALTH MANAGEMENT, DELAWARE ADVISORY GROUP, DAVIS FINANCIAL, CRIFASI ENTERPRISES, INC, CREATIVE WEALTH PARTNERS, LLC, COX WEALTH MANAGEMENT, CORUJO FINANCIAL SERVICES, INC., CLEARPATH CAPITAL MANAGEMENT, LLC, CERTIFIED MARKETING CENTERS, CEI FINANCIAL PLANNING, BROWN FINANCIAL GROUP, BRADLEY TEETS INVESTMENT SERVICES, BERGEY FINANCIAL, BENEDICT A MINTCHELL JR, INC., BDR WEALTH MANAGEMENT LLC, BAKER FINANCIAL SERVICES, APEX FINANCIAL SERVICES GROUP, ANTHONY LOCASCIO CONSULTING, LLC, AMG LEGACY PLANNING, AMG CAPITAL, LLC, ALLIANCE WEALTH ADVISORS, AJS WEALTH MANAGEMENT GROUP, AARON SWANIER
- **Investment Adviser scope:** ACTIVE
- **SEC IA file number:** 801-63048
- **Branches:** 264
- **Has disclosure events:** YES
- **Headquarters:** FT. LAUDERDALE, FL, 33308, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/140808

## Citation

> FINRA BrokerCheck, firm 140808 (KOVACK ADVISORS, INC.). Retrieved via AI Analytics 2026-06-25 from https://api.ai-analytics.org/broker/140808.

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