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Livermore
Livermore
ZHEN

Kovack Advisors, Inc.

SEC CIK
0001728321
Latest filing
Jul 28, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 3, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
682
+9 vs. Q2 2021
Portfolio value
$919.5M
+$41.6M (+4.7%) vs. Q2 2021
Filed
Nov 3, 2021
SEC
Holdings of Kovack Advisors, Inc. in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
ATP Oil & Gas Corp00208J108COM71,860$00.0%+71,860New–
Advanced Viral Resh Corp Com007928104COM20,000$00.0%+20,000New–
Anr - Contingent Rev Pymt Thru03634H118RT25,269$00.0%00.0%Unchanged–
HCMCHealthier Choices Management Corp.COM750,000$00.0%00.0%UnchangedHistory
IBIZ Technology45103B205COM200,000$00.0%+200,000New–
Image Innovations Hldgs Inc Com45248A104COM74,000$00.0%+74,000New–
Max Sound Corp.57776X109COM300,000$00.0%00.0%Unchanged–
Sierra Income Corp Com82632T100COMMON32,310$00.0%+54+0.2%Added–
Business Dev Corporation of Amer12325J101Closed End Funds73,792$1.00K<0.1%+52+0.1%Added–
PPJ Healthcare Enterprises Ord69353D505ORD500,000$1.00K<0.1%00.0%Unchanged–
Biotech Medics Ord090699307ORD80,000$5.00K<0.1%00.0%Unchanged–
FS Energy and Power Fund30264D109COM59,264$8.00K<0.1%+2,565+4.5%Added–
Highlands REIT, Inc.43110A104COM75,075$11.0K<0.1%+8,915+13.5%Added–
Grilled Cheese Truck Ord39850T105ORD40,000$17.0K<0.1%00.0%Unchanged–
Western Magnesium Corp95855T102COM57,882$21.0K<0.1%+57,882New–
TLPHTalphera, Inc.COM46,000$47.0K<0.1%+5,000+12.2%AddedHistory
SANBanco Santander, S.A.ADR20,478$74.0K<0.1%00.0%UnchangedHistory
NCMINational CineMedia, Inc.COM23,237$83.0K<0.1%00.0%UnchangedHistory
Healthcare Trust Inc42226B105REIT26,196$126.0K<0.1%+584+2.3%Added–
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM24,643$145.0K<0.1%+2,500+11.3%AddedHistory
PBTPermian Basin Royalty TrustUNIT BEN INT25,750$148.0K<0.1%00.0%UnchangedHistory
PBIPitney Bowes IncCOM21,272$153.0K<0.1%00.0%UnchangedHistory
NSLNuveen Senior Income FundCOM27,400$160.0K<0.1%−2,000−6.8%ReducedHistory
PNNTPennantpark Investment CorpCOM25,300$164.0K<0.1%+1,800+7.7%AddedHistory
ORCOrchid Island Capital, Inc.COM33,591$164.0K<0.1%+5,963+21.6%AddedHistory
ZNGAZynga IncCL A23,420$176.0K<0.1%−9,040−27.8%ReducedHistory
Griffin American Healthcare398183103COM32,842$184.0K<0.1%00.0%Unchanged–
GUTGabelli Utility TrustCOM24,154$190.0K<0.1%+2,249+10.3%AddedHistory
CSXCSX CorpStock6,726$200.0K<0.1%+6,726NewHistory
ELEstee Lauder Companies IncCL A667$200.0K<0.1%+667NewHistory
MARMarriott International IncStock1,365$202.0K<0.1%+1,365NewHistory
CSGPCostar Group, Inc.COM2,348$202.0K<0.1%+2,348NewHistory
JGHNuveen Global High Income FundSHS12,700$204.0K<0.1%−1,000−7.3%ReducedHistory
NAZNuveen Arizona Quality Municipal Income FundCOM13,008$204.0K<0.1%00.0%UnchangedHistory
State Street SPDR S&P Regional Banking ETF78464A698ETF3,020$205.0K<0.1%+3,020New–
KMIKinder Morgan, Inc.Stock12,358$207.0K<0.1%+12,358NewHistory
LBRDKLiberty Broadband CorpCOM SER C1,200$207.0K<0.1%+1,200NewHistory
iShares Tr4642874407-10 YR TRSY BD1,802$208.0K<0.1%+4+0.2%Added–
VRSNVerisign IncCOM1,018$209.0K<0.1%+1,018NewHistory
GPIGroup 1 Automotive IncCOM1,113$209.0K<0.1%+1,113NewHistory
OTISOtis Worldwide CorpStock2,554$210.0K<0.1%−196−7.1%ReducedHistory
MDLZMondelez International, Inc.Stock3,621$211.0K<0.1%+3,621NewHistory
UUnity Software Inc.COM1,681$212.0K<0.1%+1,681NewHistory
AWKAmerican Water Works Company, Inc.Stock1,257$213.0K<0.1%+1,257NewHistory
VTRVentas, Inc.REIT3,876$214.0K<0.1%+3+0.1%AddedHistory
PHParker-Hannifin CorpStock766$214.0K<0.1%+44+6.1%AddedHistory
PIMCO Active Bond Exchange-Traded Fund72201R775ETF1,963$217.0K<0.1%+132+7.2%Added–
NGVTIngevity CorpCOM3,035$217.0K<0.1%+314+11.5%AddedHistory
Invesco Exch Traded FD Tr II46138E610KBW HIG DV YLD10,730$218.0K<0.1%+600+5.9%Added–
DSLDoubleLine Income Solutions FundCOM12,330$219.0K<0.1%+12,330NewHistory
CTVACorteva, Inc.Stock5,238$220.0K<0.1%−101−1.9%ReducedHistory
First Tr Exchange Traded FD33734X143HLTH CARE ALPH1,854$221.0K<0.1%00.0%Unchanged–
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF3,035$222.0K<0.1%−374−11.0%Reduced–
GSBDGoldman Sachs BDC, Inc.SHS12,100$222.0K<0.1%+200+1.7%AddedHistory
DDDuPont de Nemours, Inc.COM3,268$222.0K<0.1%−613−15.8%ReducedHistory
NSCNorfolk Southern CorpStock931$223.0K<0.1%+1+0.1%AddedHistory
RCLRoyal Caribbean Cruises LtdCOM2,505$223.0K<0.1%00.0%UnchangedHistory
HZNPHorizon Therapeutics Public Ltd CoSHS2,040$223.0K<0.1%+2,040NewHistory
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF1,880$224.0K<0.1%−67−3.4%Reduced–
TFCTruist Financial CorpCOM3,859$226.0K<0.1%+134+3.6%AddedHistory
MNManning & Napier, Inc.CL A24,704$226.0K<0.1%00.0%UnchangedHistory
First Trust Multi Cap Growth Alphadex Fund33733F101ETF1,923$227.0K<0.1%+1,923New–
First Tr Exchange-Traded Alp33735K108COM SHS2,042$227.0K<0.1%+2,042New–
ETOEaton Vance Tax-Advantaged Global Dividend Opportunities FundCOM7,566$228.0K<0.1%00.0%UnchangedHistory
Vanguard Financials ETF92204A405ETF2,468$229.0K<0.1%−80−3.1%Reduced–
iShares Tr464287333GLOBAL FINLS ETF2,914$229.0K<0.1%−79−2.6%Reduced–
PDCOPatterson Companies, Inc.COM7,608$229.0K<0.1%+7,608NewHistory
CHTRCharter Communications, Inc.CL A316$230.0K<0.1%+316NewHistory
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT4,094$230.0K<0.1%+10.0%AddedHistory
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD9,134$231.0K<0.1%+233+2.6%AddedHistory
VTAInvesco Dynamic Credit Opportunities FundCOM19,938$233.0K<0.1%−2,832−12.4%ReducedHistory
DMTKDermTech, Inc.COM7,300$234.0K<0.1%+1,500+25.9%AddedHistory
VBFInvesco Bond FundCOM11,500$234.0K<0.1%00.0%UnchangedHistory
First Tr Exchange-Traded Alp33735J101COM SHS3,645$235.0K<0.1%−2,243−38.1%Reduced–
YUMCYum China Holdings, Inc.COM4,045$235.0K<0.1%+20.0%AddedHistory
SPDR Series Trust78464A284ST NUVE HIGH ETF3,917$235.0K<0.1%+3+0.1%Added–
HBANHuntington Bancshares IncCOM15,236$236.0K<0.1%+15,236NewHistory
WYNNWynn Resorts LtdCOM2,821$239.0K<0.1%+2,821NewHistory
MVTBlackRock Munivest Fund II, Inc.COM15,820$241.0K<0.1%00.0%UnchangedHistory
GLADGladstone Capital CorpCOM21,338$241.0K<0.1%+21,338NewHistory
ARK ETF Tr00214Q203AUTNMUS TECHNLGY3,097$242.0K<0.1%+324+11.7%Added–
LYBLyondellBasell Industries N.V.SHS - A -2,582$242.0K<0.1%+2,582NewHistory
LUVSouthwest Airlines CoCOM4,704$242.0K<0.1%+4,704NewHistory
Steadfast Apartment REIT, Inc.85780P101COMMON STOCK15,664$244.0K<0.1%+15,664New–
ZENZendesk, Inc.COM2,105$245.0K<0.1%00.0%UnchangedHistory
Vanguard Star FDS921909768VG TL INTL STK F3,891$246.0K<0.1%+569+17.1%Added–
First Tr Global FDS SML CP CL A ETFG3R761153ETF9,700$246.0K<0.1%00.0%Unchanged–
SYYSysco CorpStock3,150$247.0K<0.1%−3,550−53.0%ReducedHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN24,239$247.0K<0.1%+4,518+22.9%AddedHistory
AAgilent Technologies, Inc.COM1,573$248.0K<0.1%+1,573NewHistory
iShares Russell 1000 Value ETF464287598ETF1,594$249.0K<0.1%+180+12.7%Added–
RSGRepublic Services, Inc.COM2,071$249.0K<0.1%00.0%UnchangedHistory
Dimensional ETF Trust25434V104US CORE EQT MKT8,282$250.0K<0.1%+8,282New–
NUENucor CorpCOM2,545$251.0K<0.1%+445+21.2%AddedHistory
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX6,000$251.0K<0.1%+6,000New–
EXASExact Sciences CorpCOM2,635$252.0K<0.1%00.0%UnchangedHistory
SMSISmith Micro Software, Inc.COM NEW52,150$252.0K<0.1%+800+1.6%AddedHistory
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF3,356$253.0K<0.1%−534−13.7%Reduced–
MTNVail Resorts IncCOM757$253.0K<0.1%00.0%UnchangedHistory
BNYBank of New York Mellon CorpStock4,904$254.0K<0.1%−210−4.1%ReducedHistory

Options (22)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Kovack Advisors, Inc. in Q3 2021
SecurityClassPutsCalls
CLFCleveland-Cliffs Inc.COM$321.0K–
ANFAbercrombie & Fitch CoCL A$3.00K$98.0K
CSCOCisco Systems, Inc.Stock$50.0K$48.0K
AMZNAmazon Com IncStock$48.0K–
FFord Motor CoStock–$19.0K
METAMeta Platforms, Inc.Stock$13.0K–
PFEPfizer IncStock–$7.00K
AAPLApple Inc.Stock$3.00K$4.00K
CCLCarnival Corp Ltd.UNIT 99/99/9999–$6.00K
GESGuess IncCOM–$6.00K
DOWDow Inc.Stock–$4.00K
MCDMcDonalds CorpStock–$4.00K
AALAmerican Airlines Group Inc.Stock–$3.00K
DOCUDocuSign, Inc.Stock$3.00K–
CRWDCrowdStrike Holdings, Inc.Stock$2.00K–
PBIPitney Bowes IncCOM–$2.00K
MATMattel IncCOM–$2.00K
DBDDiebold Nixdorf, IncCOM–$2.00K
KOCoca Cola CoStock$1.00K–
BPBP PLCADR–$1.00K
BABoeing CoStock$1.00K$0
AZNAstraZeneca PLCSPONSORED ADR–$1.00K

Sold out since Q2 2021 (66)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Kovack Advisors, Inc. sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
DLWR Ivy SC an TCH CL I466001807CL INSTL11,320$1.29M0.1%–
GLTRabrdn Precious Metals Basket ETF TrustPHYSCL PRECS MET8,694$839.0K0.1%History
UNMUnum GroupStock26,086$741.0K0.1%History
DBXDropbox, Inc.CL A23,513$713.0K0.1%History
Ivy FDS Inc Hi Inc FD CL I466000122MUTUAL84,380$605.0K0.1%–
GLWCorning IncCOM13,014$532.0K0.1%History
NVCRNovoCure LtdORD SHS2,308$512.0K0.1%History
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL6,368$491.0K0.1%–
ADXAdams Diversified Equity Fund, Inc.COM24,000$474.0K0.1%History
Telephone & Data System 5.875879433795NTS15,050$396.0K<0.1%–
USBUS Bancorp DECOM NEW6,592$376.0K<0.1%History
Qwest 6 75 NTS74913G873NTS14,000$375.0K<0.1%–
PBCTPeople's United Financial, Inc.COM20,269$347.0K<0.1%History
PDACPeridot Acquisition Corp.SHS CL A27,811$339.0K<0.1%History
VanEck ETF Trust92189H607OIL SERVICES ETF1,277$333.0K<0.1%–
FIGSFIGS, Inc.CL A6,524$327.0K<0.1%History
LMNDLemonade, Inc.Stock2,930$321.0K<0.1%History
NIONIO Inc.ADR5,974$318.0K<0.1%History
KLICKulicke & Soffa Industries IncCOM5,137$314.0K<0.1%History
ZZillow Group, Inc.CL C CAP STK2,547$311.0K<0.1%History
STNEStoneCo Ltd.COM4,635$311.0K<0.1%History
iShares Inc464286426MSCI EM ASIA ETF3,356$310.0K<0.1%–
ESIElement Solutions IncCOM13,200$309.0K<0.1%History
MER.PKBank of America CorpEquities11,425$309.0K<0.1%History
First Trust Financials Alphadex Fund33734X135ETF6,877$300.0K<0.1%–
Assured Guaranty Mun Hldgs 5 60 NTS04623A403NTS11,590$297.0K<0.1%–
SPDR Series Trust78468R556SP O&G EXPL PRO3,053$295.0K<0.1%–
HAYWHayward Holdings, Inc.COM11,176$291.0K<0.1%History
KRKroger CoStock6,912$265.0K<0.1%History
VIAVViavi Solutions Inc.COM14,925$264.0K<0.1%History
WEXWEX Inc.COM1,358$263.0K<0.1%History
WYWeyerhaeuser CoCOM NEW7,329$252.0K<0.1%History
CHDChurch & Dwight Co IncCOM2,866$244.0K<0.1%History
First Tr Exchange Traded FD33738R837NASDQ PHRMTCLS9,380$243.0K<0.1%–
QVC 6 250 SNR Secd NTS747262400NTS9,102$241.0K<0.1%–
ETF Managers Tr26924G508ETFMG ALTR HRVST11,458$236.0K<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT1,434$232.0K<0.1%History
First Tr Exchange-Traded Alp33737M201MID CAP VAL FD5,230$232.0K<0.1%–
BYNDBeyond Meat, Inc.COM1,473$232.0K<0.1%History
First Tr Exchange-Traded Alp33733C108SHS ISSUED FRST3,225$229.0K<0.1%–
First Tr Exchange-Traded Alp33737M409SML CAP VAL ALPH4,496$229.0K<0.1%–
HNWPioneer Diversified High Income Fund, Inc.COM14,921$227.0K<0.1%History
Delaware Ivy MD CP GR CL I466001609CL INSTL4,845$220.0K<0.1%–
RBLXRoblox CorpStock2,436$219.0K<0.1%History
APPSDigital Turbine, Inc.COM NEW2,850$217.0K<0.1%History
EAElectronic Arts Inc.COM1,510$217.0K<0.1%History
ETF Managers Tr26924G102PRIME JUNIR SLVR14,125$215.0K<0.1%–
ILMNIllumina, Inc.COM452$214.0K<0.1%History
ATVIActivision Blizzard, Inc.COM2,241$214.0K<0.1%History
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM7,765$211.0K<0.1%History
SVCService Properties TrustCOM SH BEN INT16,728$211.0K<0.1%History
Credit Suisse Group225401108SPONSORED ADR20,098$211.0K<0.1%–
FCXFreeport-McMoran IncStock5,664$210.0K<0.1%History
XYLXylem Inc.COM1,750$210.0K<0.1%History
SFIXStitch Fix, Inc.Stock3,431$207.0K<0.1%History
SCCOSouthern Copper CorpStock3,201$206.0K<0.1%History
Barrick Gold Corp067901108COM9,977$206.0K<0.1%–
RPMRPM International IncCOM2,324$206.0K<0.1%History
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF5,186$205.0K<0.1%–
PAIWestern Asset Investment Grade Income Fund Inc.COM13,000$203.0K<0.1%History
TDToronto Dominion BankStock2,873$201.0K<0.1%History
BKTBlackRock Income Trust, Inc.COM21,238$135.0K<0.1%History
Inventrust Pptys Corp46124J102COM65,349$85.0K<0.1%–
NWBONorthwest Biotherapeutics IncCOM25,000$37.0K<0.1%History
Hospitality Invs Ord44107J108COM43,544$22.0K<0.1%–
Dean Foods Co New Com New242370203Common Stock33,000$1.00K<0.1%–