Who We Are
"We Want to Help You Create Your Own Brand"
Kovack Securities, Inc. (KSI) is a Privately Owned Independent Broker-Dealer that provides Registered Representatives, currently at Wire Houses, Retail houses and other Independent BD's in the industry, with a one-stop-shop for products and services to support a successful Hybrid Independent model. KSI offers FRIENDLY and unique back office support, technology, compliance, consulting and the perfect human touch to support your current business model and provide scalable solutions for growth.
Our Broker-Dealer supports all of your investment needs with our wide array of products including equities, options, mutual funds, fixed income, insurance products and several Alternative Investments. Services offered through KSI and our sister company, Kovack Advisors Inc. (KAI) includes access to third party money managers, private client services group, third party institutional research, all in one technology solution, private labeling and marketing support to name just a few. Additionally, KSI provides PRO ACTIVE compliance to support your business to ensure your spotless status in our highly regulated industry.
Our Business Models
Whether you are looking to manage an individual operation or branch office managing several reps, KSI provides the tools, flexibility, infrastructure and compliance to expand your business to your desire. We provide personalized solutions for:
- D.B.A. - You can operate as a DBA (Doing Business As) operating as an OSJ, branch or non-branch. This enhances your visibility to your clients in your marketing efforts and allows you to build YOUR business with your name.
- Branch Office scalability - You can operate as a branch office with multiple registered and non-registered personnel. We have open architecture technology platforms in place to support your current branch office structure as it expands. You can carry the Kovack Securities Inc. name on your storefront.
At KSI we firmly believe that a Broker-Dealer should provide more than just a high payout and many products. We truly understand that the true value of our services go well beyond mere clearing and accounting, which is why our philosophy is that our Advisors are the primary asset of the Firm and our ONLY customers.
An integral part of our commitment to our Advisors is to provide access to Senior Management at all times. We want to make our Reps successful as they help their clients achieve their needs goals and objectives.
Privately & Family Owned - High Integrity & Values
Ronald J. KovackPh.D, CFP - Co-Founder & Chairman
Ron is the Chairman with 46 years experience in the securities industry including 19 years with Merrill Lynch and 10 years with Prudential Securities. Ron serves as a FINRA Chairperson Arbitrator and is also past Chairman of the FINRA District 7 Committee.
Ron has been a Certified Financial Planner (CFP) since 1978 and holds BA, BS, MS and two Ph.D degrees. In addition, Ron has Series 7, 24, 27, 53, 63, 65, and 73 licenses. Ron is responsible for strategic planning and overseeing the general business affairs of the Firm.
Brian J. Kovack, Esq., CRCPCo-Founder & President
As an securities attorney, Brian is involved with many of the legal aspects of the business including regulatory and licensing matters. Brian serves as a FINRA Chairperson Arbitrator since 2003 and has a BS in Finance, MS in Accounting, and JD in Law. Brian's professional licenses include the Series 7, 24, 27, 53, 63, and 65.
Most recently, Brian was successfully elected to the Financial Industry Regulatory Authority (FINRA) Board of Governors and is serving a three year term to end in 2018. Prior to the current FINRA Board, in 2006 Brian was the youngest elected to serve as the Industry Representative on the NASD Board of Governors and the FINRA Interim Board of Governors. In addition, he completed a three-year term on the FINRA District 7 Committee and served a one-year term on the FINRA Regulatory Advisory Committee in 2013.
He is a Certified Regulatory and Compliance Professional (CRCP) by the FINRA Institute for Professional Development and Wharton School of Business. As a former University of Florida linebacker and two (2) time SEC Academic Honor Roll, Brian handles many of the day-to-day business affairs which include close integration of technology and strategic business relations.