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Dane Alvin Brinkman

CRD# 4485043·Registered 2002 - 2009
Suspended: Dane Alvin Brinkman was suspended by the FINRA; they may not be permitted to conduct business during the suspension.

Professional Summary

Dane Alvin Brinkman was a registered financial advisor. Dane was a previously registered financial advisor and started their career in finance 2002 - 2009. Dane had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

24 years in the financial services industry

Current & Past Employments

KOVACK SECURITIES INC.·CRD# 44848
BD
Nevada City, CA
July 8, 2005 - February 2, 2009
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Grass Valley, CA
July 23, 2004 - July 29, 2005
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
July 23, 2004 - July 29, 2005
A. G. EDWARDS & SONS, INC.·CRD# 4
RIA
Grass Valley, CA
November 18, 2002 - July 28, 2004
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
St. Louis, MO
February 8, 2002 - July 28, 2004

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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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

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 Event

5

Arbitration

5

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2002About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 2002About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2005About the Series 24 exam

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CRS (Client Relationship Summary)

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

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