Individual Firm
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GREGORY DEPAUL WHELAN
GREGORY WHELAN
CRD#: 5247677
IA
B
KOVACK ADVISORS, INC.CRD#: 140808 6451 N. Federal Highway
Suite 1201
Fort Lauderdale, FL 33308
Suite 1201
Fort Lauderdale, FL 33308
KOVACK SECURITIES INC.CRD#: 44848 6451 N. FEDERAL HIGHWAY
SUITE 1201
FORT LAUDERDALE, FL 33308
SUITE 1201
FORT LAUDERDALE, FL 33308
View By:
5/14/2024
Customer Dispute
Pending
2/24/2021
Customer Dispute
Settled
State Registrations
B
California 2/4/2025
B
Ohio 2/7/2025
B
Georgia 2/5/2025
IA
Texas 2/5/2025
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/5/2025
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Registered with this firm since 2/4/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/22/2013 - 03/06/2025 | FORT LAUDERDALE, FL | |
B | 04/22/2013 - 03/06/2025 | FORT LAUDERDALE, FL | |
IA | 09/07/2011 - 05/20/2013 | FT. LAUDERDALE, FL | |
B | 08/17/2011 - 05/20/2013 | FT. LAUDERDALE, FL | |
B | 01/21/2011 - 07/11/2011 | NEW YORK, NY | |
B | 10/28/2009 - 07/19/2010 | NEW YORK, NY | |
B | 07/18/2007 - 03/26/2009 | JERSEY CITY, NJ |
FORT LAUDERDALE, FL
04/22/2013 - 03/06/2025
FORT LAUDERDALE, FL
04/22/2013 - 03/06/2025
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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.