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AS

Allen R. Soulek

Some features on this profile are disabled
CRD#: 1873068
AS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Allen Ray Soulek, who also goes by Al Soulek, was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 1988. Allen had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Al Soulek

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) DBA: SCHWAN FINANCIAL GROUP - 401 VIVIAN STREET SOUTH , ABERDEEN, SD 57401, ESTATE AND FINANCIAL PLANNING INCLUDING INVESTMENT ADVISORY, REPRESENTATIVE, 95% OF TIME SPENT (INCLUDES SCHWAN FINANCIAL ADVISORS & SCHWAN FINANCIAL AGENCY), COMPENSATED ON SALARY/PROFITS. 2) SCHWAN FINANCIAL ADVISORS - 401 VIVIAN STREET SOUTH, ABERDEEN, SD 57401, INVESTMENT ADVISOR REPRESENTATIVE, COMPENSATED THROUGH SCHWAN FINANCIAL GROUP, LLC. 3) SCHWAN FINANCIAL AGENCY - 401 VIVIAN STREET SOUTH, ABERDEEN, SD 57401, FIXED AND VARIABLE INSURANCE, AGENT, COMPENSATED THROUGH SCHWAN FINANCIAL GROUP, LLC. 4) RENTAL HOME - COLUMBIA, MO; HOME OWNED BY ALLEN SOULEK AND CINDY HOLLER IN COLUMBIA, MO AND RENTED TO SON

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 15, 2010 - December 31, 2023

KOVACK SECURITIES INC.

BD
CRD#: 44848
ABERDEEN, SD
Past

July 16, 2008 - March 12, 2024

SCHWAN FINANCIAL ADVISORS, LLC

RIA
CRD#: 127313
ABERDEEN, SD
Past

July 7, 2008 - August 6, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
ABERDEEN, SD
Past

August 14, 2006 - July 7, 2008

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
ABERDEEN, SD
Past

September 6, 2005 - August 15, 2006

WADDELL & REED

RIA
CRD#: 866
SIOUX FALLS, SD
Past

August 8, 2005 - August 15, 2006

WADDELL & REED

BD
CRD#: 866
SIOUX FALLS, SD
Past

February 26, 2004 - July 27, 2005

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

October 23, 2003 - December 31, 2003

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

February 14, 2002 - January 13, 2003

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

June 2, 1998 - January 19, 2001

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

February 22, 1997 - May 29, 1998

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX
Past

August 9, 1995 - December 18, 1996

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

October 8, 1993 - August 10, 1995

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

September 11, 1991 - October 7, 1992

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

September 21, 1988 - September 17, 1991

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/2/2005
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/19/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/27/1988
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: 9/17/1988
General Securities Representative Examination

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

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Company Information

KOVACK SECURITIES INC.

CRD#: 44848

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