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WK

William F. Kovacic

Some features on this profile are disabled
CRD#: 721989
WK

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.

William Frank Kovacic, who also goes by Bill Kovacic, William F Kovacic, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1981. William had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Kovacic | William F Kovacic

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

March 3, 2004 - November 1, 2007

TRADERIGHT SECURITIES, INC.

BD
CRD#: 45598
PALOS HEIGHTS, IL
Past

August 21, 2000 - March 1, 2004

PEREGRINE FINANCIALS & SECURITIES, INC.

BD
CRD#: 43992
CHICAGO, IL
Past

October 8, 1998 - July 19, 1999

BAIRD MANAGEMENT CORPORATION

BD
CRD#: 45556
IRVING, TX
Past

July 9, 1996 - June 29, 2023

ASSET STRATEGIES, INC

RIA
CRD#: 104512
PALOS HEIGHTS, IL
Past

February 7, 1996 - August 18, 2000

MATRIX EXECUTIONS, LLC

BD
CRD#: 38455
CHICAGO, IL
Past

March 6, 1989 - June 21, 1995

SECURITIES RESOURCE GROUP, LTD.

BD
CRD#: 6037
PHOENIX, AZ
Past

July 12, 1983 - March 1, 1989

SOURCE SECURITIES, INC.

BD
CRD#: 8026
Past

January 19, 1981 - August 22, 1983

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

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
IAR
Series 65
Date: 1/18/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/3/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/12/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 11/7/1995
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/1989
General Securities Principal Examination

Current Firm

TS
TRADERIGHT SECURITIES, INC.
DBA: NDX ADVISORS | TRADERIGHT, CORP. D/B/A TRADERIGHT SECURITIES, INC. | TRADERIGHT SECURITIES, INC. | TRADERIGHT SECURITIES | TRADERIGHT CORPORATION | TRADERIGHT CORP. | TRADERIGHT CORP DBA TRADERIGHT SECURITIES, INC | NDX TRADING INC --AFFILATE BY COMMON OWNERSHIP | NDX ADVISORS, LLC | ENTERPRISE ADVISORY GROUP, INC.

CRD#: 45598 / SEC#: , 8-51101

BD
Terminated by SEC on 06/16/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 12/01/1997
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FINANCIAL NETWORKS GROUP, LLCSHAREHOLDER
DRAGEL, GEORGE EDWARDCCO/AMLCO/CORPORATE SECRETARY1718650
RUKUJZO, MICHAEL JOHNPRESIDENT/REGISTERED PRINCIPAL/SROP/CROP/FINOP/TREASURER1386173

Disclosures

Regulatory Event3
Arbitration1

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

TRADERIGHT SECURITIES, INC.

CRD#: 45598

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