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Kelly Miller

Kovack Advisors, INC.
41 Years of Experience
Marietta, GA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Kelly Miller is a registered investment advisor at Kovack Advisors, INC., based in Marietta, GA, with 41 years of industry experience. Kelly is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
258 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1337 Canton Rd, Suite A, Marietta, GA, 30066

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2016
Final
Customer Dispute
September 2014
Settled
Customer Dispute
September 2013
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kelly owns Oak Tree Group, offering financial planning services since 1990, dedicating about 10-20% of her time to running the firm and client management. She also works as an insurance agent, recommending term, health, STD, LTC, DI, and UL insurance as part of her financial planning practice, spending minimal time on this.

Employment History
Current Registrations
Kovack Advisors, INC.
January 2015 - Present · 11 yrs 9 mos
Kovack Securities INC.Broker
October 2014 - Present · 12 yrs
Previous Registrations
Resource Horizons Investment Advisory, INC.
October 2007 - December 2014 · 7 yrs 2 mos
Resource Horizons Group, L.L.C.
January 2005 - December 2007 · 2 yrs 11 mos
Resource Horizons Group LLCBroker
March 2001 - October 2014 · 13 yrs 7 mos
Centennial Capital Management, INC.Broker
September 1997 - March 2001 · 3 yrs 6 mos
Canada Life of America Financial Services, INC.Broker
September 1992 - May 1998 · 5 yrs 8 mos
Cadaret, Grant & CO., INC.Broker
June 1992 - October 1997 · 5 yrs 4 mos
North American Financial Group, INC.Broker
January 1992 - July 1992 · 6 mos
Keogler, Morgan & Company, INC.Broker
May 1991 - December 1991 · 7 mos
Investacorp, INC.Broker
September 1990 - May 1991 · 8 mos
Raymond James & Associates, INC.Broker
January 1990 - August 1990 · 7 mos
Interstate/johnson Lane CorporationBroker
October 1988 - January 1990 · 1 yr 3 mos
Johnson, Lane, Space, Smith & CO., INC.Broker
March 1985 - October 1988 · 3 yrs 7 mos
State Registrations37 states
ALARAZCACOCTDEFLGAIAILINKSKYLAMDMEMIMNMOMSNCNHNVNYOKORPARISCTNTXVAVTWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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