Arturo Colon

Kovack Advisors, INC.

27 Years of Experience

31 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement PlanningHigh Net Worth

Kovack Advisors, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

268 advisors

Number of Clients

14,305 clients

Average Client Portfolio

$387K average

Assets Under Management

$5.5B

Fee Structure

Location

6451 N. Federal Hwy, Suite 1201, Ft. Lauderdale, FL, 33308

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History

Regulatory History (31)

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

April 2020

Settled

Customer Dispute

September 2019

Settled

Customer Dispute

September 2019

Settled

Customer Dispute

August 2019

Settled

Customer Dispute

July 2019

Settled

Customer Dispute

December 2018

Settled

Customer Dispute

December 2018

Settled

Customer Dispute

June 2018

Settled

Customer Dispute

May 2018

Settled

Customer Dispute

February 2018

Settled

Customer Dispute

January 2018

Settled

Customer Dispute

December 2017

Settled

Customer Dispute

November 2017

Settled

Customer Dispute

October 2017

Settled

Customer Dispute

June 2017

Settled

Customer Dispute

September 2016

Denied

Customer Dispute

September 2016

Settled

Customer Dispute

August 2016

Settled

Customer Dispute

August 2016

Settled

Customer Dispute

June 2016

Closed-No Action

Customer Dispute

March 2016

Settled

Customer Dispute

February 2016

Settled

Customer Dispute

December 2014

Settled

Customer Dispute

August 2014

Settled

Customer Dispute

July 2014

Settled

Customer Dispute

July 2010

Denied

Customer Dispute

January 2008

Settled

Customer Dispute

December 2007

Settled

Customer Dispute

December 2004

Settled

Customer Dispute

September 2002

Settled

Customer Dispute

September 1999

Denied

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Arturo is a Senior Vice President - Investments at West Indies Wealth Management and also provides legal advice as a lawyer, dedicating about a quarter of his time to the latter. Additionally, Arturo is a life insurance producer selling life, variable, and annuity products, spending a few hours per week on this activity, and serves on the board of trustees for Atlantic University College, Inc., dedicating minimal time.