HISTORY

Kovack Securities, Inc. (KSI) was founded in 1997 and is one of the fastest growing broker-dealers (BD) in the country. At KSI we cater to our representatives by providing them with the personal service they need in order to accomplish the specialized services which they offer. Our goal is to make it simple for our representatives to maximize their potential by providing them with the personal service, support and freedom they need to grow their business.

PHILOSOPHY

At KSI we firmly believe that a BD 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 representatives are the primary asset of the Firm and our ONLY customers. An integral part of our commitment to our representatives is to provide access to Senior Management at all times. Our number one priority is helping our reps be successful as they assist their clients in achieving their financial goals by providing unsurpassed service, support, and products.

PRODUCT

Limits on product availability and the prevalence of proprietary products in captive firms gave rise to independent BDs. Whether you specialize in equities, fixed income, mutual funds, managed money, insurance products, or any combination thereof, we have the experts and resources to make a significant difference in your business. Our representatives enjoy the freedom to market what they choose, when they choose and pursue their own style without the constraints, commission schedules or payouts imposed by the giant wire houses.

DUAL CLEARING SERVICES

KSI uses Fidelity Clearing & Custody Solutions (FCCS), a wholly owned subsidiary of Fidelity Investments, who is one of the world's largest financial services firms and is a member of the NYSE and has execution capabilities on all principal exchanges. KSI also uses Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation. The Bank of New York Mellon Corporation has offices located in 37 countries and offers the support of over 40,000 professionals worldwide. Pershing works behind the scenes to provide the people, services, and technologies that help make successful investments possible.

OFFICE HOME

We only make money when you do, so it's in our own best interests to make sure our home office staff has top-notch skills and a can-do attitude focused on eliminating any potential barriers to your success. We maintain one of the highest BD ratios of representatives to operational staff with an average ratio of 7-to-1. Because we understand that it is impossible to be an expert in every area of your business, our goal is to provide answers to any of your questions, no matter how difficult, within 24 hours.

BUILDING EQUITY

KSI representatives have the freedom and flexibility to structure their own financial planning, investment, or insurance practice to suit their individual needs and lifestyle. This means they will be able to set up their business any way they want it. Essentially, they will have the freedom to tailor a business for themselves, and their firm, so when they decide to retire they may sell their book or pass it on to future generations.

TECHNOLOGY

Through an integrated approach to technology, we have positioned ourselves to provide our representatives with the use of state-of-the-art technology so that they may run their business from any location they choose. Our representatives have instant access to view and manage their client's account information. Additionally, KSI representative will have access to online tools that will assist them in their day to day activities. Of course your clients will have the ability to request online access to view the accounts. The result is that we provide the most current technological resources available today.

RESEARCH

Recognizing this is as much a knowledge-based profession as it is a relationship business, we ensure that you have extensive resources in the areas of research, quotation, and new retrieval services through Advisor Insight, S&P Bloomberg, and others. Beyond offering you the tools to conduct research, we would be remiss to overlook our in-house experts whose guidance on interpreting data can offer greater reassurance with respect to your investment decisions.

TRANSITION TEAM

While most representatives transfer once in a lifetime, our Transition Team does it every day, and because our management and operational team have prior sales experience, we understand the need to have paperwork refined and as simple as possible. Simply put, the team is determined to make the transition transparent to your clients, eliminate unnecessary downtime, and ensure that you become familiar with the vast resources that we have available. As such, we have created documents which are straightforward and easy to complete and we have also designed our operating procedures are available online to make it convenient to access at any time.

PRACTICE MANAGEMENT

As a KSI representative, you will have the ability to pickup the phone at any time and speak directly with senior management. By taking a personal interest in each of our representatives and building a long-term relationship at the top management level, we set the tone for service by all KSI employees ensuring that all our representatives needs are met in a timely, efficient manner. The result is that our representatives have a meaningful voice in setting company policy.

INDISPENSABLE SERVICE

An integral part of our commitment to our representatives is to provide access to senior management at all times. Our number one priority is helping our reps be successful as they assist their clients in achieving their financial goals by providing unsurpassed service, support, and products.