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Rod Cushing

Kovack Advisors, INC.
32 Years of Experience
Salt Lake City, UT
4 DisclosuresBrokerSells Insurance
View SEC Summary
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Rod Cushing is a registered investment advisor at Kovack Advisors, INC., based in Salt Lake City, UT, with 32 years of industry experience. Rod 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

Salt Lake City, UT

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History

Regulatory History (4)
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.
Customer Dispute
January 2025
Denied
Customer Dispute
October 2024
Settled
Regulatory
November 2011
Final
Employment Separation After Allegations
January 2010
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Rod holds an insurance license for accident, health, life, variable life, and variable annuities, spending minimal time on insurance sales and service. He also serves as a personal representative and co-trustee of a trust, dedicating minimal time to estate administration.

Employment History
Current Registrations
Kovack Advisors, INC.
November 2019 - Present · 6 yrs 11 mos
Kovack Securities INC.Broker
October 2019 - Present · 7 yrs
Previous Registrations
Cambria Capital LLC
February 2010 - November 2019 · 9 yrs 9 mos
Cambria Capital, LLCBroker
February 2010 - November 2019 · 9 yrs 9 mos
RBC Capital Markets Corporation
June 2001 - February 2010 · 8 yrs 8 mos
RBC Capital Markets CorporationBroker
June 1998 - February 2010 · 11 yrs 8 mos
Smith Barney INC.Broker
May 1994 - June 1998 · 4 yrs 1 mo
State Registrations7 states
AKAZCANVOKORUT
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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