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RS

Roberto Serrano

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CRD#: 4280714
RS

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.

Roberto Serrano JR., CFP®, who also goes by Robert Serrano Jr., was a registered financial professional .

Roberto is a previously registered financial professional and started their career in finance in 2001. Roberto had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Serrano Jr.

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)

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®
CFP®

Certified Financial Planner

Experience

Past

February 16, 2016 - August 5, 2016

KOVACK SECURITIES INC.

BD
CRD#: 44848
Coral Gables, FL
Past

January 4, 2016 - February 1, 2016

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
CORAL GABLES, FL
Past

November 3, 2015 - August 5, 2016

CASTLEVIEW PARTNERS, LLC

RIA
CRD#: 281410
Coral Gables, FL
Past

March 24, 2015 - December 31, 2015

FORTITUDE ADVISORY GROUP L.L.C.

RIA
CRD#: 116083
CORAL GABLES, FL
Past

March 10, 2015 - December 31, 2015

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
CORAL GABLES, FL
Past

February 11, 2011 - March 16, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
FT LAUDERDALE, FL
Past

September 15, 2010 - March 16, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
FT LAUDERDALE, FL
Past

June 13, 2007 - November 12, 2009

ARGENTUS SECURITIES, LLC

BD
CRD#: 45915
CORAL GABLES, FL
Past

June 11, 2004 - December 20, 2006

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
CORAL GABLES, FL
Past

September 26, 2003 - June 2, 2004

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

January 8, 2001 - September 26, 2002

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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: 2/9/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/5/2001
Investment Company Products/Variable Contracts 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

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#: 44848

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