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Alicia Alvarez

Kovack Advisors, INC.
32 Years of Experience
Fort Lauderdale, FL
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Alicia Alvarez is a registered investment advisor at Kovack Advisors, INC., based in Fort Lauderdale, FL, with 32 years of industry experience. Alicia 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
257 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

1560 Sawgrass Corporate Parkway, Suite 405, Fort Lauderdale, FL, 33323

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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.
Judgment / Lien
January 2009
Customer Dispute
September 2006
Settled
Customer Dispute
July 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Alicia operates as Essential Financial and Insurance Services, selling fixed index annuities and fixed insurance life insurance, dedicating about a quarter of her time. She also engages in fixed insurance sales, property rental, management of real estate properties, Medicare supplement sales, and assists with estate distribution.

Employment History
Current Registrations
Kovack Advisors, INC.
February 2014 - Present · 12 yrs 8 mos
Kovack Securities INC.Broker
January 2014 - Present · 12 yrs 9 mos
Previous Registrations
Capital Guardian Wealth Management, LLC
August 2010 - January 2014 · 3 yrs 5 mos
Capital Guardian, LLCBroker
June 2010 - January 2014 · 3 yrs 7 mos
Citigroup Global Markets INC.Broker
May 2007 - December 2009 · 2 yrs 7 mos
Citigroup Global Markets INC.
May 2007 - December 2009 · 2 yrs 7 mos
Citicorp Investment Services
September 2006 - May 2007 · 8 mos
Citicorp Investment ServicesBroker
August 2006 - May 2007 · 9 mos
Banc of America Investment Services, INC.
February 2001 - August 2006 · 5 yrs 6 mos
Banc of America Investment Services, INC.Broker
February 2001 - August 2006 · 5 yrs 6 mos
Wm Financial Services, INC.Broker
August 1998 - February 2001 · 2 yrs 6 mos
First Union Brokerage Services, INC.Broker
May 1993 - August 1998 · 5 yrs 3 mos
State Registrations5 states
COFLGANCNM
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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