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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

WARREN ALAN MARMORSTEIN

Advisor at KOVACK ADVISORS, INC.

FT. LAUDERDALE, FL | BOCA RATON, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 25, 2005 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: Jan 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 7, 2005
First registration: Feb 25, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 2790383

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	Jul 23, 2012	n/a	yes	BOCA RATON, FL\|FT. LAUDERDALE, FL	Current employment
BROOKSTONE INVESTMENT ADVISORY SERVICES	Former SEC adviser	Feb 26, 2009	Jun 20, 2012	no	BOCA RATON, FL	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Jun 6, 2006	Oct 7, 2008	no	BOCA RATON, FL\|BOCA RATON, FL\|SAN DIEGO, CA\|SAN DIEGO, CA\|BOCA RATON, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Feb 25, 2005	Feb 15, 2006	no	BOCA RATON, FL\|BOCA RATON, FL	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
BROOKSTONE INVESTMENT ADVISORY SERVICES	KOVACK ADVISORS, INC.	Jun 20, 2012	Jul 23, 2012	33	Firm change	Other
INDEPENDENT FINANCIAL GROUP, LLC	BROOKSTONE INVESTMENT ADVISORY SERVICES	Oct 7, 2008	Feb 26, 2009	142	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Feb 15, 2006	Jun 6, 2006	111	Firm change	Other

Relationships

Registered with (4)

→ KOVACK ADVISORS, INC.Registered adviserregistration: current employment
Jul 23, 2012 to presentfactForm ADV
→ BROOKSTONE INVESTMENT ADVISORY SERVICESRegistered adviserregistration: previous registration
Feb 26, 2009 to Jun 20, 2012factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Jun 6, 2006 to Oct 7, 2008factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 25, 2005 to Feb 15, 2006factForm ADV

Dated events

No dated event names this entity yet.