"Choices"
Top Industry technology that incorporates everything you know that is important to your clients with how your firm operates, helping you establish deeper relationships
Compliance support and tools, or complete oversight and auditing, depending on your choice of affiliation
A seamless transition supported by a firm-wide team of experts who are at your disposal
Advanced planning expertise to help you provide solutions for clients with complex wealth and financial planning needs
Turnkey marketing support ranging from customizable single-use communications to ongoing, value-add programs, all at your fingertips to help you build your brand and your business
Educational and Informative conferences that have helped elevate our Advisor Experience to one of the most Pro Active and engaged Advisor Cultures in the industry. We have tried set a standard within the Securities/Advisory business to provide unparalleled development and networking opportunities
Dual Clearing from both Top Industry custodians We utilize both Fidelity Custody & Clearing as well as Pershing as our clearing firms
Practice management & Succession Planning consulting to provide guidance on staffing, marketing, succession planning, and more
Bringing it all together is the community of individuals that distinguishes Kovack: we employ the caliber of people who celebrate your independence, share your vision and passion for success, and stand ready to do whatever it takes to deliver a better and more productive overall experience for you and your clients.
Full Registration (BD & RIA)
As a dually registered advisor, you can take full advantage of our broker/dealer and investment adviser registrations to conduct your commission-based business-with a payout of up to 94%-and your fee-based business-with a payout as high as 95%*.
Whether you choose to handle the investment management yourself or outsource it to subadvisors, you can enjoy maximum freedom and flexibility. Select from Commonwealth's wide array of commission-based products or from our Choice® platform, SMA & UMA programs and other advisory services, based upon your clients' needs.
We've got you covered with resources, service, and support you can rely on, including:
A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
A truly integrated technology platform. We've built and continue to refine our systems to work the way you do. Everything you need-from trading and CRM to document storage and performance reporting for both your commission and fee business-is integrated on a single platform. And because our technology incorporates everything you know that's important to your clients with the distinct way your firm operates, you're able to drive more productive interactions and form deeper relationships.
Practice management consultants. Our specialists help you embrace the role of CEO-offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
The compliance support you need. Our full Compliance infrastructure is at your disposal for both sides of your dually registered business-including a team of consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them.
*Administrative fees vary based on your overall fee-based assets.
Representative Only
Participate in straight commission-based brokerage business as a registered representative and enjoy a high payout level, along with all the support and added value that Kovack Securities has to offer, including:
A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
A truly integrated technology platform. We've built and continue to refine our systems to work the way you do. Our technology integrates everything you know that's important to your clients with the distinct way your firm operates- enabling you to drive more productive interactions and form deeper relationships.
Practice management consultants. Our specialists help you embrace the role of CEO/COO- offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
The compliance oversight you need. Kovack's full Compliance infrastructure, support, and oversight is at your disposal, including a team of experienced consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them. We embrace a Pro-Active approach to Compliance and guidance on regulatory and supervisory procedures
RIA Only (State or SEC)
Utilize the advantages of operating your planning and advisory business through your own RIA- including 100%* payout -without the responsibilities of maintaining your own infrastructure. You can create the fee structure that works for you and maintain complete control over how you provide advisory, asset management, and financial planning services. This will allow you to have complete flexibility in how you market and run your business- and we will aide and assist with all of the rest.
We're behind you all the way with the resources, service, and support you can rely on, including:
A truly integrated technology platform. We've built and continue to refine our systems to work the way you do. Everything you need- from trading and CRM to document storage and performance reporting- is integrated on a single platform. And because our technology incorporates everything you know that's important to your clients with the distinct way your firm operates, you're able to drive more productive interactions and form deeper relationships.
Only the compliance guidance you need. Take advantage of surveillance reports that help you manage your regulatory compliance obligations, and call on our in-house team of experts any time with questions. We also offer discounts to third-party specialists we've done the due diligence on, who can provide you with regulatory guidance.
Practice management consultants. Our specialists help you embrace the role of CEO/COO- offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
A seamless transition. We hope that this is the last move you should ever have to make, so our team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel sure and confident knowing our shared goal is maximum retention of your client assets and fortifying the strongest relationship.
A truly integrated technology platform. We've built and continue to refine our technological systems to work the way you do. Everything you need- from trading and CRM to document storage and performance reporting- is integrated on a single platform. And because our technology incorporates everything you know that's important to your clients with the distinct way your firm operates, you're able to drive more productive interactions and form deeper relationships.
*Administrative fees vary based on your overall fee-based assets and specific business mix.
IAR Only (Through Kovack Advisors)
Conduct an exclusively fee-based business as an Investment Adviser Representative (IAR) of Kovack Advisors- with a payout up to 100%*- and truly gain access to the full array of investment choices your clients demand through our Choice Platform and approved third-party vendors & platforms.
Whether you choose to handle the investment management yourself or outsource it to subadvisors, you can enjoy maximum freedom and flexibility under our corporate RIA. Select from the Choice Advisor platform, SMA, UMA, ETF, Fund programs, and other advisory services, based upon your clients' specific needs.
We're behind you all the way with the resources, service, and support you can rely on, including:
A seamless transition. We hope that this is the last move you should ever have to make, so our Advisor focused firm with its team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
Advisory Service Team. We insure that Top quality analysis and due diligence is performed by our team, that does it all on your behalf. From analysis of the markets to asset allocation to portfolio construction, it's added value that's at your disposal whenever you and your clients need it, at no additional charge.
A truly integrated technology platform. We've built and continue to refine our systems to work the way you do. Everything you need- from trading and CRM to document storage and performance reporting- is integrated on a single platform. And because our technology incorporates everything you know that's important to your clients with the distinct way your firm operates, you're able to drive more productive interactions and form deeper relationships.
Practice management consultants. Our specialists help you embrace the role of CEO/COO- lending top tier guidance on everything from hiring staff to marketing your brand to creating a succession plan.
The compliance oversight you need. As an IAR under Kovack Advisors corporate RIA, our full Compliance infrastructure is at your disposal, including a team of consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them.
*Administrative fees vary based on your overall fee-based assets and specific business mix.
Hybrid Advisor
As a hybrid advisor, you can maintain your commission-based revenue stream under our broker/dealer and receive top tier payouts, and conduct your advisory and planning business through your own RIA with up to a 100%* payout.
Our Firm is committed to providing the solution you and your clients need. We've got you covered with resources, service, and support you can rely on, including:
A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
A truly integrated technology platform. We've built and continue to refine our systems to work the way you do. Everything you need for your hybrid RIA business- from trading and CRM to document storage and performance reporting for both your commission and fee business- is integrated on a single platform. And because our technology incorporates everything you know that's important to your clients with the distinct way your firm operates, you're able to drive more productive interactions and form deeper relationships.
Practice management consultants. Our specialists help you embrace the role of CEO/COO- offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
The compliance guidance you need. For business conducted under your own RIA, take advantage of surveillance reports that help you manage your compliance obligations, and call on our in-house team of experts any time with questions. We also offer discounts to third-party specialists we've done the due diligence on, who can provide you with regulatory guidance. For your commission business under our broker/dealer, our full Compliance infrastructure is at your disposal- including a team of consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them.
*Administrative fees vary based on your overall fee-based assets and specific business mix.
