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MH

Michael A. Horowitz

Some features on this profile are disabled
CRD#: 4310718
MH

Professional summary

Michael Aaron Horowitz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Michael had worked at 8 firms, which includes KOVACK SECURITIES INC., MONARCH CAPITAL INC., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, PURSHE KAPLAN STERLING INVESTMENTS, MUTUAL SECURITIES INC., MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Horowitz

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®
None

Experience

Past

January 2, 2014 - March 14, 2014

KOVACK SECURITIES INC.

BD
CRD#: 44848
BEVERLY HILLS, CA
Past

August 6, 2013 - March 28, 2014

MONARCH CAPITAL, INC.

RIA
CRD#: 167007
BEVERLY HILLS, CA
Past

August 26, 2011 - December 31, 2013

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
BEVERLY HILLS, CA
Past

December 23, 2010 - August 8, 2011

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
BEVERLY HILLS, CA
Past

September 2, 2008 - December 14, 2010

MUTUAL SECURITIES, INC.

RIA
CRD#: 13092
BEVERLY HILLS, CA
Past

August 29, 2008 - December 14, 2010

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
BEVERLY HILLS, CA
Past

August 28, 2008 - October 10, 2013

MONARCH CAPITAL, INC.

RIA
CRD#: 147990
BEVERLY HILLS, CA
Past

April 2, 2007 - September 8, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BEVERLY HILLS, CA
Past

April 2, 2007 - September 8, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BEVERLY HILLS, CA
Past

April 11, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BEVERLY HILLS, CA
Past

January 17, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BEVERLY HILLS, CA

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: 2/8/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/26/2010
General Securities Principal 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.

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Company Information

KOVACK SECURITIES INC.

CRD#: 44848

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