Individual Firm
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JAMES MITCHELL FOUNTAIN III
JAMES M FOUNTAIN III
CRD#: 1701248
IA
B
KOVACK ADVISORS, INC.CRD#: 140808 15 Fifth St. SE
Moultrie, GA 31768
Moultrie, GA 31768
KOVACK SECURITIES INC.CRD#: 44848 15 Fifth St SE
Moultrie, GA 31768
Moultrie, GA 31768
0
Disclosures
37
Years of Experience
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State Registrations
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Alabama 5/16/2016
IA
Florida 5/18/2016
IA
Alabama 5/18/2016
B
Georgia 5/16/2016
B
Florida 5/16/2016
IA
Georgia 5/17/2016
SRO Registrations
B
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Registered with this firm since 5/17/2016
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Registered with this firm since 5/16/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/28/2003 - 05/16/2016 | MOULTRIE, GA | |
B | 07/23/2002 - 05/16/2016 | MOULTRIE, GA | |
B | 01/02/2002 - 07/23/2002 | MITCHELFIELD, NY | |
B | 01/03/1997 - 12/31/2001 | LYNNFIELD, MA | |
B | 06/01/1996 - 12/31/1996 | EL SEGUNDO, CA | |
B | 03/17/1992 - 06/01/1996 | SIOUX FALLS, SD | |
B | 07/24/1987 - 02/07/1992 | DULUTH, GA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.