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Gregory Whelan

Kovack Advisors, INC.
18 Years of Experience
Fort Lauderdale, FL
3 DisclosuresBroker
View SEC Summary
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Gregory Whelan is a ChFC-designated registered investment advisor at Kovack Advisors, INC., based in Fort Lauderdale, FL, with 18 years of industry experience. Gregory 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

6451 N. Federal Highway, Suite 1201, Fort Lauderdale, FL, 33308

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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.
Employment Separation After Allegations
February 2025
Customer Dispute
May 2024
Settled
Customer Dispute
February 2021
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gregory is the owner and financial advisor at Depaul Capital LLC, a financial services/wealth management firm, dedicating all of his time to this endeavor. He also owns Pirata Holdings LLC, a real estate company, but spends minimal time on it.

Employment History
Current Registrations
Kovack Advisors, INC.
February 2025 - Present · 1 yr 9 mos
Kovack Securities INC.Broker
February 2025 - Present · 1 yr 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2013 - March 2025 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2013 - March 2025 · 11 yrs 11 mos
Morgan Stanley
September 2011 - May 2013 · 1 yr 8 mos
Morgan StanleyBroker
August 2011 - May 2013 · 1 yr 9 mos
UBS Financial Services INC.Broker
January 2011 - July 2011 · 6 mos
Tullett Prebon Financial Services LLCBroker
October 2009 - July 2010 · 9 mos
Icap Securities USA LLCBroker
July 2007 - March 2009 · 1 yr 8 mos
State Registrations7 states
AZCAFLGANYOHTX
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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Gregory Whelan - Financial Advisor | TrueAdvisor