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Investment Adviser Firm Summary

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

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/21/2004

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 07/29/2004
Alaska 02/07/2011
Arizona 10/05/2006
Arkansas 02/07/2011
California 07/23/2004
Colorado 07/27/2006
Connecticut 08/08/2005
Delaware 05/01/2008
District of Columbia 05/28/2009
Florida 04/21/2004
Georgia 06/23/2006
Hawaii 02/07/2011
Idaho 07/25/2006
Illinois 06/23/2005
Indiana 11/01/2007
Iowa 10/27/2009
Kansas 06/21/2007
Kentucky 07/29/2004
Louisiana 04/01/2009
Maine 04/09/2007
Maryland 08/06/2004
Massachusetts 03/31/2006
Michigan 07/25/2007
Minnesota 10/09/2007
Mississippi 01/06/2006
Missouri 03/13/2007
Montana 12/08/2004
Nebraska 07/02/2010
Nevada 01/03/2005
New Hampshire 11/22/2006
New Jersey 04/25/2005
New Mexico 01/14/2008
New York 06/20/2006
North Carolina 06/23/2005
North Dakota 07/02/2010
Ohio 07/29/2004
Oklahoma 04/03/2009
Oregon 07/23/2004
Pennsylvania 08/08/2005
Puerto Rico 08/16/2005
Rhode Island 02/07/2011
South Carolina 02/15/2007
South Dakota 07/07/2010
Tennessee 07/30/2004
Texas 03/20/2007
Utah 02/11/2005
Vermont 11/22/2006
Virgin Islands 02/07/2011
Virginia 01/03/2005
Washington 07/23/2004
West Virginia 04/18/2008
Wisconsin 06/25/2007

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser