GS
Gaines B. Smith
KOVACK ADVISORS
Belleville, IL
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CRD#: 1305480
GS
Professional summary
Gaines Bailey Smith is a registered financial advisor currently at KOVACK ADVISORS, INC. located in Belleville, Illinois and KOVACK SECURITIES INC. located in Belleville, Illinois.
Gaines is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Gaines has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) FIXED INSURANCE SALES - 6 Magnolia Drive, BELLEVILLE, IL 62221; LIFE, ACCIDENT, HEALTH, PROPERTY, AND CASUALTY LICENSE IN STATE OF ILLINOIS; NON INVESTMENT RELATED; 71% OF TIME SPENT 2) SMITH & SONS FIREARMS, CO., NON INVESTMENT RELATED, FIREARMS AND SPORTING GOODS RETAIL, PRESIDENT, SINCE SEPTEMBER 2009, 20 HOURS/MTH 0 TRADING HRS,PART TIME SALES OF FIREARMS AND OUTDOOR SUPPLIES. 3) CO-TRUSTEE ON FAMILY TRUST; NON INVESTMENT RELATED; 1% OF TIME SPENT 4) NOTARY - 6 MAGNOLIA DRIVE, BELLEVILLE, IL 62221; NON-INVESTMENT RELATED; NOTARIZE CLIENT DOCUMENTS; NOTARY; LESS THAN 1% OF TIME SPENT.
CRS (Client Relationship Summary) - RIA
Click below to view Gaines Bailey Smith's 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®
NoneExperience
Current
January 8, 2015 - Present
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Belleville, IL
Current
October 15, 2014 - Present
KOVACK SECURITIES INC.
BD
CRD#: 44848
Belleville, IL
Past
January 4, 2013 - December 31, 2014
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
RIA
CRD#: 143384
BELLEVILLE, IL
Past
October 26, 2012 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
BD
CRD#: 104368
BELLEVILLE, IL
Past
December 12, 1997 - December 31, 2012
GAINES FINANCIAL SERVICES, INC.
RIA
CRD#: 123354
BELLEVILLE, IL
Past
December 20, 1988 - February 28, 2013
GAINES FINANCIAL CORPORATION
BD
CRD#: 5391
BELLEVILLE, IL
Past
November 12, 1986 - December 1, 1988
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Past
January 25, 1985 - December 1, 1988
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
Registered Investment Advisory firm - (4/21/2004 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(8/14/2025)
RR
Colorado(10/15/2014)
RR
Florida(10/16/2014)
RR
Georgia(10/15/2014)
RR
Illinois(10/15/2014)
IAR
Illinois(1/8/2015)
RR
Kentucky(7/8/2022)
RR
Missouri(1/28/2020)
RR
New Mexico(10/15/2014)
RR
Tennessee(12/8/2021)
RR
Texas(5/23/2018)
RR
Washington(12/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
Registered Investment Advisory firm - (4/21/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
Phone number
(954) 782-4771
Established
Firm type
Fiscal year end
# of Employees
330
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,809 |
| AUM (Assets Under Management) | $ 5,533,506,324 |
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.
