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Detailed Report
Kory Joel Schwan
CRD#: 6574162
IA
Investment Adviser
B
Broker
KOVACK ADVISORS, INC.CRD#: 140808 401 Vivian Street South
Aberdeen, SD 57401
KOVACK SECURITIES INC.CRD#: 44848 6451 N. FEDERAL HWY.
SUITE 1201
FT. LAUDERDALE, FL 33308
Registration History
2020202120222023202420252026IAKOVACK ADVISORS, INC. (CRD# 140808)2020 - Present (5 years)BKOVACK SECURITIES INC. (CRD# 44848)2021 - Present (3 years)
License(s)

State Registrations

B
Florida 4/18/2023
B
Nebraska 8/2/2023
IA
Idaho 1/26/2021
IA
New Jersey 6/30/2021
B
Idaho 2/5/2024
IA
North Dakota 5/4/2021
IA
Kansas 9/14/2022
IA
South Dakota 2/4/2020
IA
Louisiana 8/5/2020
B
South Dakota 4/18/2022
IA
Minnesota 3/17/2021
IA
Texas 3/20/2020
IA
Mississippi 7/27/2022
B
Wisconsin 7/5/2022
B
Montana 5/20/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
KOVACK ADVISORS, INC. (CRD#:140808)
401 Vivian Street South, Aberdeen, SD 57401
Registered with this firm since 2/4/2020
B
KOVACK SECURITIES INC. (CRD#:44848)
6451 N. FEDERAL HWY. SUITE 1201, FT. LAUDERDALE, FL 33308
Registered with this firm since 4/23/2021
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.