0002014289-24-000002.txt : 20240417 0002014289-24-000002.hdr.sgml : 20240417 20240417121958 ACCESSION NUMBER: 0002014289-24-000002 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: PARDO,FERNANDO,NMN, FILED AS OF DATE: 20240311 DATE AS OF CHANGE: 20240417 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Kovack Municipal Group LLC CENTRAL INDEX KEY: 0002014289 ORGANIZATION NAME: IRS NUMBER: 990920245 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-05729 FILM NUMBER: 24849981 BUSINESS ADDRESS: STREET 1: 6451 N. FEDERAL HIGHWAY STREET 2: SUITE 1201 CITY: FORT LAUDERDALE STATE: FL ZIP: 33308 BUSINESS PHONE: 954-782-4771 MAIL ADDRESS: STREET 1: 6451 N. FEDERAL HIGHWAY STREET 2: SUITE 1201 CITY: FORT LAUDERDALE STATE: FL ZIP: 33308 MA-I 1 primary_doc.xml MA-I 0002014289 XXXXXXXX Fernando Pardo 954-670-8149 fpardo@kfn.com fpardo@kfn.com N N Fernando NMN Pardo 6171442 N 1 0002014289 Kovack Municipal Group LLC 03-01-2024 N 03-11-2024 0002014289 LOCATED SUPERVISED 03-01-2024 6451 N. FEDERAL HIGHWAY SUITE 1201 FORT LAUDERDALE FL 33308 Fernie NMN Pardo 03-2024 Kovack Municipal Group LLC FORT LAUDERDALE FL 33308 Y N Chief Compliance Officer / Principal 03-2024 03-2024 KOVACK FINANCIAL LLC / KOVACK SECURITIES INC. FORT LAUDERDALE FL 33308 N Y AML Compliance Officer (Due to EDGAR system limitations not allowing overlapping dates - individual started employment in August 2023 and is currently still employed under Kovack Financial LLC / Kovack Securities Inc.) 08-2023 02-2024 KOVACK ADVISORS INC. FORT LAUDERDALE FL 33308 N Y AML Compliance Officer (Due to EDGAR system limitations not allowing overlapping dates - individual started employment in August 2023 and is currently still employed under Kovack Advisors Inc.) 06-2021 08-2023 CREDICORP CAPITAL LLC AND CREDICORP CAPITAL ADVISORS LLC MIAMI FL 33131 N Y Compliance Officer & ROSEP 04-2021 06-2021 UNEMPLOYED POMPANO BEACH FL 33069 N N Unemployed 07-2015 04-2021 INTL. FCSTONE FINANCIAL INC. MIAMI FL 33131 N Y AML Compliance Officer 03-2015 06-2015 ROBERT HALF - US BANCORP CHICAGO IL 60602 N Y AML Compliance Officer 02-2015 02-2015 UNEMPLOYED CHICAGO IL 60602 N N Unemployed 11-2013 01-2015 ROBERT HALF - GROSVENOR CAPITAL MANAGEMENT CHICAGO IL 60611 N Y Compliance Support Analyst Y 08-2023 Kovack Financial LLC / Kovack Securities Inc. / Kovack Advisors Inc. 6451 North Federal Highway Suite 1201 FORT LAUDERDALE FL 33308 N Y Broker/Dealer & Registered Investment Advisor (RIA) AML Compliance Officer 140 Oversee firm's AML Compliance Program N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 03-11-2024 Fernando Pardo Chief Compliance Officer