CCO

0001398344-18-011101.txt : 20180802 0001398344-18-011101.hdr.sgml : 20180802 20180802155902 ACCESSION NUMBER: 0001398344-18-011101 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20180802 DATE AS OF CHANGE: 20180802 EFFECTIVENESS DATE: 20180802 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Kovack Advisors, Inc. CENTRAL INDEX KEY: 0001728321 IRS NUMBER: 200981614 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18240 FILM NUMBER: 18988157 BUSINESS ADDRESS: STREET 1: 6451 N. FEDERAL HWY. STREET 2: STE 1201 CITY: FT. LAUDERDALE STATE: FL ZIP: 33308 BUSINESS PHONE: 954-670-8134 MAIL ADDRESS: STREET 1: 6451 N. FEDERAL HWY. STREET 2: STE 1201 CITY: FT. LAUDERDALE STATE: FL ZIP: 33308 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001728321 XXXXXXXX 09-30-2017 09-30-2017 false Kovack Advisors, Inc.

6451 N. Federal Hwy. Ste 1201 Ft. Lauderdale FL 33308

13F HOLDINGS REPORT 028-18240 N Susanne V. Rosenfeldt CCO 954-670-8134 /s/ Susanne V. Rosenfeldt Ft. Lauderdale FL 08-01-2018 0 380 299018 INFORMATION TABLE 2 fp0034962_13fhr-table.xml 13F INFORMATION TABLE 3M CO COM COM 88579Y101 303 1442 SH SOLE 0 0 1442 8X8 INC NEW COM COM 282914100 143 10569 SH SOLE 0 0 10569 ABBVIE INC COM COM 00287Y109 819 9220 SH SOLE 0 0 9220 ABERCROMBIE & FITCH CO CL A COM CL A 002896207 1184 81985 SH SOLE 0 0 81985 ACTIVISION BLIZZARD INC COM COM 00507V109 219 3388 SH SOLE 0 0 3388 ADOBE SYS INC COM COM 00724F101 299 2003 SH SOLE 0 0 2003 ADVANCED MICRO DEVICES INC COM COM 007903107 246 19285 SH SOLE 0 0 19285 ADVISORSHARES TR ADVISORSHS ETF ADVISORSHS ETF 00768Y206 841 15125 SH SOLE 0 0 15125 AES CORP COM COM 00130H105 190 17225 SH SOLE 0 0 17225 AETNA INC NEW CALL JAN00145000 COM 00817Y108 0 2 SH Call SOLE 0 0 2 AETNA INC NEW COM COM 00817Y108 329 2069 SH SOLE 0 0 2069 AFLAC INC COM COM 001055102 328 4032 SH SOLE 0 0 4032 AGNC INVT CORP COM COM 00123Q104 328 15112 SH SOLE 0 0 15112 AGRITEK HLDGS INC COM COM 00856J103 0 30000 SH SOLE 0 0 30000 AKAMAI 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INCOME OPP F COM COM 72201B101 177 10561 SH SOLE 0 0 10561 PIMCO ETF TR 0-5 HIGH YIELD TR 0-5 HIGH YIELD 72201R783 632 6222 SH SOLE 0 0 6222 PIMCO ETF TR ACTIVE BD ETF TR ACTIVE BD ETF 72201R775 384 3600 SH SOLE 0 0 3600 PIMCO ETF TR ENHAN SHRT MA AC TR ENHAN SHRT MA AC 72201R833 275 2700 SH SOLE 0 0 2700 PINNACLE WEST CAP CORP COM COM 723484101 200 2369 SH SOLE 0 0 2369 PREFERRED APT CMNTYS INC COM COM 74039L103 324 17165 SH SOLE 0 0 17165 PROCTER & GAMBLE CO CALL JAN00092500 COM 742718109 0 1 SH Call SOLE 0 0 1 PROCTER AND GAMBLE CO COM COM 742718109 1922 21124 SH SOLE 0 0 21124 PROGRESSIVE CORP OHIO COM COM 743315103 276 5707 SH SOLE 0 0 5707 PROSHARES TR PSHS ULT S&P 500 PSHS ULT S&P 500 74347R107 421 4350 SH SOLE 0 0 4350 PROSHARES TR PSHS ULTRUSS2000 PSHS ULTRUSS2000 74347R842 354 5300 SH SOLE 0 0 5300 QORVO INC COM COM 74736K101 232 3277 SH SOLE 0 0 3277 QUALCOMM INC COM COM 747525103 700 13504 SH SOLE 0 0 13504 RAYTHEON CO COM NEW COM 755111507 899 4817 SH SOLE 0 0 4817 REALTY INCOME CORP COM COM 756109104 260 4550 SH SOLE 0 0 4550 REGENERON PHARMACEUTICALS COM COM 75886F107 499 1117 SH SOLE 0 0 1117 RITE AID CORP COM COM 767754104 40 20500 SH SOLE 0 0 20500 ROCHE HLDG LTD SPONSORED ADR LTD SPONSORED ADR 771195104 414 12963 SH SOLE 0 0 12963 ROCKWELL AUTOMATION INC COM COM 773903109 670 3762 SH SOLE 0 0 3762 SALESFORCE COM INC COM COM 79466L302 341 3650 SH SOLE 0 0 3650 SANCHEZ ENERGY CORP COM COM 79970Y105 236 49025 SH SOLE 0 0 49025 SANDRIDGE MISSISSIPPIAN TR II SH BEN INT MISSISSIPPIAN TR II SH BEN INT 80007V106 16 12000 SH SOLE 0 0 12000 SCHLUMBERGER LTD COM COM 806857108 326 4677 SH SOLE 0 0 4677 SCHWAB CHARLES CORP NEW COM COM 808513105 312 7132 SH SOLE 0 0 7132 SEAGATE TECHNOLOGY PLC SHS TECHNOLOGY PLC SHS G7945M107 358 10808 SH SOLE 0 0 10808 SELECT SECTOR SPDR TR ENERGY SPDR TR ENERGY 81369Y506 457 6670 SH SOLE 0 0 6670 SELECT SECTOR SPDR TR SBI CONS DISCR SPDR TR SBI CONS DISCR 81369Y407 701 7780 SH SOLE 0 0 7780 SELECT SECTOR SPDR TR SBI CONS STPLS SPDR TR SBI CONS STPLS 81369Y308 413 7648 SH SOLE 0 0 7648 SELECT SECTOR SPDR TR SBI HEALTHCARE SPDR TR SBI HEALTHCARE 81369Y209 755 9238 SH SOLE 0 0 9238 SELECT SECTOR SPDR TR SBI INT-FINL SPDR TR SBI INT-FINL 81369Y605 1027 39697 SH SOLE 0 0 39697 SELECT SECTOR SPDR TR SBI INT-INDS SPDR TR SBI INT-INDS 81369Y704 303 4267 SH SOLE 0 0 4267 SELECT SECTOR SPDR TR SBI INT-UTILS SPDR TR SBI INT-UTILS 81369Y886 510 9618 SH SOLE 0 0 9618 SELECT SECTOR SPDR TR TECHNOLOGY SPDR TR TECHNOLOGY 81369Y803 1890 31980 SH SOLE 0 0 31980 SHERWIN WILLIAMS CO COM COM 824348106 911 2545 SH SOLE 0 0 2545 SHOPIFY INC CL A CL A 82509L107 525 4510 SH SOLE 0 0 4510 SOUTHERN CO COM COM 842587107 968 19691 SH SOLE 0 0 19691 SPDR DOW JONES INDL AVRG ETF UT SER 1 DOW JONES INDL AVRG ETF UT SER 1 78467X109 1615 7214 SH SOLE 0 0 7214 SPDR GOLD TRUST GOLD SHS GOLD TRUST GOLD SHS 78463V107 1326 10906 SH SOLE 0 0 10906 SPDR S&P 500 ETF TR TR UNIT S&P 500 ETF TR TR UNIT 78462F103 17216 68525 SH SOLE 0 0 68525 SPDR S&P 500 ETF TRUST PUT MAR00145000 S&P 500 ETF TR TR UNIT 78462F103 633 5414 SH Put SOLE 0 0 5414 SPDR SERIES TRUST BLOOMBERG BRCLYS SERIES TRUST BLOOMBERG BRCLYS 78464A417 337 9030 SH SOLE 0 0 9030 SPDR SERIES TRUST S&P DIVID ETF SERIES TRUST S&P DIVID ETF 78464A763 881 9652 SH SOLE 0 0 9652 SPDR SERIES TRUST S&P REGL BKG SERIES TRUST S&P REGL BKG 78464A698 297 5229 SH SOLE 0 0 5229 SSGA ACTIVE ETF TR BLKSTN GSOSRLN ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 2542 53611 SH SOLE 0 0 53611 STANLEY BLACK & DECKER INC COM COM 854502101 279 1850 SH SOLE 0 0 1850 STARBUCKS CORP CALL JAN00070000 COM 855244109 0 1 SH Call SOLE 0 0 1 STARBUCKS CORP COM COM 855244109 1546 28777 SH SOLE 0 0 28777 STARWOOD PPTY TR INC COM COM 85571B105 619 28508 SH SOLE 0 0 28508 STEIN MART INC COM COM 858375108 16 12517 SH SOLE 0 0 12517 SYNTHETIC BIOLOGICS INC COM COM 87164U102 19 20144 SH SOLE 0 0 20144 TARGET CORP COM COM 87612E106 230 3899 SH SOLE 0 0 3899 TELEPHONE & DATA SYS INC SR NT 61 INC SR NT 61 879433795 293 11725 SH SOLE 0 0 11725 TERNIUM SA SPON ADR SA SPON ADR 880890108 217 7000 SH SOLE 0 0 7000 TESLA INC COM COM 88160R101 681 1996 SH SOLE 0 0 1996 THERMO FISHER SCIENTIFIC INC COM COM 883556102 340 1795 SH SOLE 0 0 1795 TREVENA INC COM COM 89532E109 27 10400 SH SOLE 0 0 10400 ULTA BEAUTY INC COM COM 90384S303 882 3900 SH SOLE 0 0 3900 UNDER ARMOR INC CALL JAN00140000 CL C 904311206 1 3 SH Call SOLE 0 0 3 UNDER ARMOUR INC CL C CL C 904311206 210 13965 SH SOLE 0 0 13965 UNITED DEV FDG IV COM COM 910187103 92 25807 SH SOLE 0 0 25807 UNITED HEALTH PRODS INC COM COM 91059D100 2 10049 SH SOLE 0 0 10049 UNITED PARCEL SERVICE INC CL B CL B 911312106 268 2234 SH SOLE 0 0 2234 UNITED TECHNOLOGIES CORP COM COM 913017109 243 2089 SH SOLE 0 0 2089 UNITEDHEALTH GROUP INC COM COM 91324P102 564 2880 SH SOLE 0 0 2880 VALLEY NATL BANCORP COM COM 919794107 197 16345 SH SOLE 0 0 16345 VANECK VECTORS ETF TR CALL SEP00024000 ETF TR GOLD MINERS ETF 92189F106 1 12 SH Call SOLE 0 0 12 VANECK VECTORS ETF TR CALL SEP00034500 ETF TR JR GOLD MINERS E 92189F791 0 3 SH Call SOLE 0 0 3 VANECK VECTORS ETF TR GOLD MINERS ETF ETF TR GOLD MINERS ETF 92189F106 543 23658 SH SOLE 0 0 23658 VANECK VECTORS ETF TR HIGH YLD MUN ETF ETF TR HIGH YLD MUN ETF 92189F361 241 7704 SH SOLE 0 0 7704 VANECK VECTORS ETF TR JR GOLD MINERS E ETF TR JR GOLD MINERS E 92189F791 1012 30135 SH SOLE 0 0 30135 VANGUARD BD INDEX FD INC INTERMED TERM BD INDEX FD INC INTERMED TERM 921937819 498 5885 SH SOLE 0 0 5885 VANGUARD BD INDEX FD INC SHORT TRM BOND BD INDEX FD INC SHORT TRM BOND 921937827 1568 19650 SH SOLE 0 0 19650 VANGUARD BD INDEX FD INC TOTAL BND MRKT BD INDEX FD INC TOTAL BND MRKT 921937835 459 5601 SH SOLE 0 0 5601 VANGUARD CHARLOTTE FDS INTL BD IDX ETF CHARLOTTE FDS INTL BD IDX ETF 92203J407 428 7849 SH SOLE 0 0 7849 VANGUARD GROUP DIV APP ETF DIV APP ETF 921908844 5123 54045 SH SOLE 0 0 54045 VANGUARD INDEX FDS EXTEND MKT ETF EXTEND MKT ETF 922908652 296 2759 SH SOLE 0 0 2759 VANGUARD INDEX FDS GROWTH ETF GROWTH ETF 922908736 1439 10842 SH SOLE 0 0 10842 VANGUARD INDEX FDS MCAP VL IDXVIP MCAP VL IDXVIP 922908512 455 4308 SH SOLE 0 0 4308 VANGUARD INDEX FDS MID CAP ETF MID CAP ETF 922908629 730 4965 SH SOLE 0 0 4965 VANGUARD INDEX FDS REAL ESTATE ETF REAL ESTATE ETF 922908553 1959 23582 SH SOLE 0 0 23582 VANGUARD INDEX FDS S&P 500 ETF SHS S&P 500 ETF SHS 922908363 538 2332 SH SOLE 0 0 2332 VANGUARD INDEX FDS SM CP VAL ETF SM CP VAL ETF 922908611 329 2577 SH SOLE 0 0 2577 VANGUARD INDEX FDS SMALL CP ETF SMALL CP ETF 922908751 1024 7243 SH SOLE 0 0 7243 VANGUARD INDEX FDS TOTAL STK MKT TOTAL STK MKT 922908769 4663 35999 SH SOLE 0 0 35999 VANGUARD INDEX FDS VALUE ETF VALUE ETF 922908744 2726 27308 SH SOLE 0 0 27308 VANGUARD INTL EQUITY INDEX FD ALLWRLD EX US INTL EQUITY INDEX FD ALLWRLD EX US 922042775 364 6897 SH SOLE 0 0 6897 VANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF INTL EQUITY INDEX FD FTSE EMR MKT ETF 922042858 553 12689 SH SOLE 0 0 12689 VANGUARD INTL EQUITY INDEX FD FTSE EUROPE ETF INTL EQUITY INDEX FD FTSE EUROPE ETF 922042874 1103 18910 SH SOLE 0 0 18910 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC SCOTTSDALE FDS MORTG-BACK SEC 92206C771 220 4170 SH SOLE 0 0 4170 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 4883 60941 SH SOLE 0 0 60941 VANGUARD STAR FD VG TL INTL STK F STAR FD VG TL INTL STK F 921909768 840 15339 SH SOLE 0 0 15339 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 940 21662 SH SOLE 0 0 21662 VANGUARD WHITEHALL FDS INC HIGH DIV YLD WHITEHALL FDS INC HIGH DIV YLD 921946406 925 11409 SH SOLE 0 0 11409 VANGUARD WORLD FDS ENERGY ETF WORLD FDS ENERGY ETF 92204A306 538 5748 SH SOLE 0 0 5748 VANGUARD WORLD FDS HEALTH CAR ETF WORLD FDS HEALTH CAR ETF 92204A504 222 1460 SH SOLE 0 0 1460 VEREIT INC COM COM 92339V100 150 18099 SH SOLE 0 0 18099 VERIZON COMMUNICATIONS INC COM COM 92343V104 2543 51377 SH SOLE 0 0 51377 VISA INC COM CL A CL A 92826C839 1623 15422 SH SOLE 0 0 15422 VOYA INFRASTRUCTURE INDLS & MT COM COM 92912X101 385 23425 SH SOLE 0 0 23425 WADDELL & REED FINL INC CL A CL A 930059100 554 27608 SH SOLE 0 0 27608 WALMART INC COM COM 931142103 1232 15762 SH SOLE 0 0 15762 WASTE MGMT INC DEL COM COM 94106L109 1118 14290 SH SOLE 0 0 14290 WELLS FARGO CO NEW COM COM 949746101 400 7253 SH SOLE 0 0 7253 WESTERN ASSET EMRG MKT DEBT FD COM COM 95766A101 1074 68260 SH SOLE 0 0 68260 WESTPAC BKG CORP SPONSORED ADR CORP SPONSORED ADR 961214301 440 17438 SH SOLE 0 0 17438 WILLIAMS SONOMA INC COM COM 969904101 368 7374 SH SOLE 0 0 7374 WISDOMTREE TR US LARGECAP DIVD US LARGECAP DIVD 97717W307 1444 16632 SH SOLE 0 0 16632 WISDOMTREE TR US MIDCAP DIVID US MIDCAP DIVID 97717W505 1746 17472 SH SOLE 0 0 17472 WISDOMTREE TR US QTLY DIV GRT US QTLY DIV GRT 97717X669 786 20609 SH SOLE 0 0 20609 WOODWARD INC COM COM 980745103 287 3700 SH SOLE 0 0 3700 WORKDAY INC CL A CL A 98138H101 278 2640 SH SOLE 0 0 2640 YUM BRANDS INC COM COM 988498101 403 5481 SH SOLE 0 0 5481 YUM CHINA HLDGS INC COM COM 98850P109 283 7081 SH SOLE 0 0 7081 YY INC ADS REPCOM CLA CL A 98426T106 339 3910 SH SOLE 0 0 3910