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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

Patricia Elizabeth Phipps

Advisor at KOVACK ADVISORS, INC.

FT. LAUDERDALE, FL | Grover Beach, CA

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Search this name across graphsid dfx:ria:14bed189-e2d8-bb49-dae0-2fa6947a65c6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 7, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KOVACK ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 2, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 2, 1994
First registration: Aug 7, 2001
Dual registered: yes, broker-dealer
Other names: MCSWEEN PHIPPS|PATRICIA MCSWEEN PHIPPS|PATRICIA ELIZABETH MCSWEEN|PATRICIA PEREA
IAPD individual key: 1918043

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KOVACK ADVISORS, INC.	Bd affiliated wealth	Jan 1, 2026	n/a	yes	FT. LAUDERDALE, FL\|Grover Beach, CA	Current employment
MUTUAL ADVISORS, LLC	Bd affiliated wealth	Jul 1, 2013	Nov 2, 2018	no	PICO RIVERA, CA	Previous registration
MUTUAL SECURITIES, INC.	Former SEC adviser	Sep 9, 2009	Jul 9, 2013	no	WESTLAKE VILLAGE, CA\|Pico Rivera, CA\|Granada Hills, CA\|PICO RIVERA, CA\|Pico Rivera, CA\|PICO RIVERA, CA\|WESTLAKE VILLAGE, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Sep 22, 2009	no	ARROYO GRANDE, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 7, 2001	Jan 1, 2008	no	ARROYO GRANDE, CA\|ST. LOUIS, MO\|ARROYO GRANDE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MUTUAL ADVISORS, LLC	KOVACK ADVISORS, INC.	Nov 2, 2018	Jan 1, 2026	2,617	Firm change after gap	Ibd to ibd
MUTUAL SECURITIES, INC.	MUTUAL ADVISORS, LLC	Jul 9, 2013	Jul 1, 2013	-8	Firm change	Other
WELLS FARGO ADVISORS	MUTUAL SECURITIES, INC.	Sep 22, 2009	Sep 9, 2009	-13	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (5)

→ KOVACK ADVISORS, INC.Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ MUTUAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 1, 2013 to Nov 2, 2018factForm ADV
→ MUTUAL SECURITIES, INC.Registered adviserregistration: previous registration
Sep 9, 2009 to Jul 9, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Sep 22, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 7, 2001 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.