PH
Philip M. Hanna
Some features on this profile are disabled
CRD#: 235950
PH
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.
Philip Michael Hanna was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1969. Philip had worked at 13 firms and has passed the Series 66, Series 63, Series 5, PC, Series 1, Series 000 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
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®
NoneExperience
Past
July 10, 2007 - December 31, 2012
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
FT. LAUDERDALE, FL
Past
July 10, 2007 - December 31, 2012
KOVACK SECURITIES INC.
BD
CRD#: 44848
PALM DESERT, CA
Past
May 22, 2003 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
RIA
CRD#: 14667
BEND, OR
Past
January 28, 1999 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
BEND, OR
Past
March 24, 1994 - December 22, 1998
CENTEX SECURITIES, INCORPORATED
BD
CRD#: 18493
LA JOLLA, CA
Past
May 14, 1992 - April 6, 1994
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
Past
January 28, 1991 - May 27, 1992
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
August 25, 1989 - January 28, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 29, 1984 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
March 5, 1984 - November 7, 1984
ROONEY, PACE INC.
BD
CRD#: 6218
Past
January 26, 1983 - March 2, 1984
J. DAVID SECURITIES, INC.
BD
CRD#: 10000
Past
November 22, 1977 - November 4, 1982
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
May 23, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
BD
CRD#: 7295
Past
September 17, 1969 - May 7, 1977
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 5/16/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 9/8/1969
Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 4/1/1969
General Securities Principal ExaminationPrincipal/Supervisory Exam
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
