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Kovack Securities, Inc.

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Kovack Securities, Inc.

Overview:

Kovack Securities Inc. (KSI) is a Privately Owned Independent Broker/Dealer that provides Registered Representatives, currently at Wire Houses, Retail houses and other Independent BD's in the industry, with a one-stop-shop for products and services to support a successful Hybrid Independent model. KSI offers FRIENDLY and unique back office support, technology, compliance, consulting and the perfect human touch to support your current business model and provide scalable solutions for growth. Our Broker/Dealer supports all of your investment needs with our wide array of products including equities, options, mutual funds, fixed income, insurance products and several Alternative Investments. Services offered through KSI and our sister company, Kovack Advisors Inc. (KAI) includes access to third party money managers, private client services group, third party institutional research, all in one technology solution, private labeling and marketing support to name just a few. Additionally, KSI provides PRO ACTIVE compliance to support your business to ensure your spotless status in our highly regulated industry.

Our Business Models

Whether you are looking to manage an individual operation or branch office managing several reps, KSI provides the tools, flexibility, infrastructure and compliance to expand your business to your desire. We provide personalized solutions for:

▪ D.B.A. - You can operate as a DBA (Doing Business As) operating as an OSJ, branch or non-branch. This enhances your visibility to your clients in your marketing efforts and allows you to build YOUR business with your name.

▪ Branch Office scalability - You can operate as a branch office with multiple registered and non-registered personnel. We have open architecture technology platforms in place to support your current branch office structure as it expands. You can carry the Kovack Securities Inc. name on your storefront.

▪ Private Labeling scalability - Our proprietary technology can be private labeled with your DBA name. This allows you to market your business through the web and gives your website more credibility with a seamless log in from your public page to your client’s account.

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Experience The Difference. Ascent Limited provides first class wealth management and family office services. Our private banking team, assembled from a group of highly experienced banking professionals, will provide financial advice tailored to your individual requirements and keep your portfolio in tune with the latest market developments and opportunities.

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