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