Carlos Capacete
Carlos Capacete is a registered investment advisor at Kovack Advisors, INC., based in Ft. Lauderdale, FL, with 39 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 14,305 clients with $5.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kovack Advisors charges an annual fee based on a percentage of the value of your investments. The maximum annual fee is 2.90%. Fees are negotiable and may be calculated as a flat percentage or on a tiered schedule. Fees are billed quarterly or monthly in advance. You are responsible for brokerage commissions and other transactional costs unless your advisor negotiates to cover ticket charges, which may result in a higher overall advisory fee.
Location
6451 N. Federal Hwy, Suite 1201, Ft. Lauderdale, FL, 33308
Get directionsHistory
Regulatory History (24)
Customer Dispute
December 2019Customer Dispute
November 2019Customer Dispute
October 2019Customer Dispute
October 2019Customer Dispute
September 2019Customer Dispute
May 2019Customer Dispute
April 2019Customer Dispute
November 2018Customer Dispute
November 2018Customer Dispute
November 2018Customer Dispute
October 2018Customer Dispute
October 2018Customer Dispute
August 2018Customer Dispute
July 2018Customer Dispute
July 2018Customer Dispute
June 2018Customer Dispute
March 2018Customer Dispute
February 2018Customer Dispute
February 2018Customer Dispute
November 2017Customer Dispute
May 2017Customer Dispute
March 2015Customer Dispute
October 2014Customer Dispute
May 2014Other Business Activities
Carlos operates West Indies Wealth Management, focusing on securities and administrative tasks. This investment-related activity takes about half of Carlos's time.
Employment History
Current Registrations
Kovack Advisors, INC.
Kovack Securities INC.Broker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services Incorporated of Puerto RicoBroker
UBS Financial Services INC.Broker
Santander SecuritiesBroker
UBS Painewebber Incorporated of Puerto RicoBroker
UBS Painewebber INC.Broker
Drexel Burnham Lambert IncorporatedBroker
State Registrations3 states
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.