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CA

Charles L. Alfrey

KOVACK SECURITIES
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 1179210
CA

Professional summary

Charles Leonard Alfrey, who also goes by Chuck Alfrey, is a registered financial professional currently at KOVACK SECURITIES INC. located in Boca Raton, Florida.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1983. Charles has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chuck Alfrey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Leonard Alfrey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 16, 2006 - Present

KOVACK SECURITIES INC.

Office #1: 951 Yamato Road Suite 201, Boca Raton, FL 33431
BD
CRD#: 44848
Boca Raton, FL
Past

March 6, 2006 - March 16, 2006

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

March 23, 1995 - February 28, 2006

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
LAKE WORTH, FL
Past

February 15, 1994 - March 16, 1995

STEIN, SHORE SECURITIES, INC.

BD
CRD#: 31294
ORLANDO, FL
Past

March 17, 1993 - February 7, 1994

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

January 1, 1992 - December 31, 1992

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

May 16, 1991 - January 1, 1992

CHRIS SECURITIES INC.

BD
CRD#: 4453
Past

October 11, 1985 - December 31, 1990

CETERA ADVISORS LLC

BD
CRD#: 10299
Past

August 10, 1984 - October 25, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

August 24, 1983 - December 31, 1990

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(3/31/2010)
RR
Florida
(8/11/2006)
RR
Georgia
(4/5/2010)
RR
Kentucky
(3/8/2010)
RR
Michigan
(9/1/2006)
RR
New Jersey
(2/17/2009)
RR
New York
(6/3/2019)
RR
North Carolina
(4/7/2022)
RR
Pennsylvania
(1/11/2013)
RR
Vermont
(11/1/2017)
RR
Virginia
(3/18/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

KOVACK SECURITIES INC.

CRD#: 44848Boca Raton, FL 33431

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