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Rinaldo Diaz-flores

Kovack Advisors, Inc.

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About Rinaldo Diaz-flores

Rinaldo Diaz-flores is an investment advisor representative with Kovack Advisors, Inc. Rinaldo has been in the industry since April 15, 2000. Rinaldo specializes in portfolio management for individuals and businesses, and also provides financial planning and selection of other advisors. Before joining Kovack Advisors, Inc. Rinaldo worked at FINANCIAL NETWORK INVESTMENT CORPORATION and WASHINGTON SQUARE SECURITIES, INC.

Firm Information

Rinaldo Diaz-flores is currently registered with Kovack Advisors, Inc.. Kovack Advisors, Inc. is an investment advisor headquartered in FT. LAUDERDALE, FL. The firm manages $4.29 billion in assets for a variety of clients, including high-net-worth individuals, corporations, individuals other than high-net-worth, and pension and profit-sharing plans. Kovack Advisors provides financial planning, portfolio management for businesses and individuals, and selection of other advisors. The firm employs 229 licensed agents and 300 investment adviser representatives. The firm's SEC number is 801-63048.
Kovack Advisors, Inc.

6451 N. FEDERAL HWY

FT. LAUDERDALE, FL 33308

$4.29B

Assets Under Management

1,602

Total Clients

264

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Rinaldo Diaz-flores’s Registration & Firm History

FL

06/23/2009 - Present

Kovack Advisors, Inc. (FT. LAUDERDALE FL)

PR

09/24/2001 - 06/17/2009

FINANCIAL NETWORK INVESTMENT CORPORATION (OLD SAN JUAN PR)

CT

02/21/2000 - 07/30/2001

WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)

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Licenses & Designations

BC

Issued 09/11/2014

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 03/29/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/24/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/26/2002

Series 7 - General Securities Representative Examination

BC

Issued 02/17/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 3 public disclosures for Rinaldo Diaz-flores. Review regulatory record here.
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