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Livermore
Livermore
ZHEN

Kovack Advisors, Inc.

SEC CIK
0001728321
Latest filing
Jul 28, 2026

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Jan 18, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
693
+11 vs. Q3 2021
Portfolio value
$1.03B
+$113.8M (+12.4%) vs. Q3 2021
Filed
Jan 18, 2022
SEC
Holdings of Kovack Advisors, Inc. in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
ProShares Tr74348A210SHRT RUSSELL200011,450$239.0K<0.1%−28,950−71.7%Reduced–
EXCExelon CorpStock4,181$242.0K<0.1%+4,181NewHistory
DBXDropbox, Inc.CL A10,003$245.0K<0.1%+10,003NewHistory
KBSRKBS Real Estate Investment Trust III, Inc.COM36,324$245.0K<0.1%+204+0.6%AddedHistory
ETOEaton Vance Tax-Advantaged Global Dividend Opportunities FundCOM7,566$246.0K<0.1%00.0%UnchangedHistory
First Tr Global FDS SML CP CL A ETFG3R761153ETF9,700$247.0K<0.1%00.0%Unchanged–
Invesco Dynamic CRDT Op CL Ax Nav CF46091B207CF19,951$248.0K<0.1%+19,951New–
iShares Tr46428743220 YR TR BD ETF1,683$249.0K<0.1%+1,683New–
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD9,726$249.0K<0.1%+592+6.5%AddedHistory
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT4,094$249.0K<0.1%00.0%UnchangedHistory
Dimensional World Ex U.S. Core Equity 2 ETF25434V880ETF9,571$250.0K<0.1%−2,449−20.4%Reduced–
Graniteshares ETF Tr38747R306HIPS US HIGH INC16,434$251.0K<0.1%+16,434New–
iShares Tr4642874571 3 YR TREAS BD2,950$252.0K<0.1%−3,895−56.9%Reduced–
EDConsolidated Edison IncStock2,967$253.0K<0.1%+2,967NewHistory
AAgilent Technologies, Inc.COM1,592$254.0K<0.1%+19+1.2%AddedHistory
ELEstee Lauder Companies IncCL A687$254.0K<0.1%+20+3.0%AddedHistory
TFCTruist Financial CorpCOM4,340$254.0K<0.1%+481+12.5%AddedHistory
VSTOVista Outdoor Inc.COM5,519$254.0K<0.1%−3,176−36.5%ReducedHistory
First Tr Exchange-Traded Alp33735J101COM SHS3,646$255.0K<0.1%+10.0%Added–
Invesco Exchange Traded FD T46137V100AEROSPACE DEFN3,527$255.0K<0.1%−1,225−25.8%Reduced–
OBDCBlue Owl Capital CorpCOM18,253$258.0K<0.1%−5,000−21.5%ReducedHistory
First Tr Exchange-Traded FD33734X176TECH ALPHADEX1,972$260.0K<0.1%−1,191−37.7%Reduced–
PBTPermian Basin Royalty TrustUNIT BEN INT25,750$260.0K<0.1%00.0%UnchangedHistory
First Tr Exchange-Traded FD33734X101CONSUMR DISCRE4,263$264.0K<0.1%−5,220−55.0%Reduced–
AFRMAffirm Holdings, Inc.COM CL A2,621$264.0K<0.1%+110+4.4%AddedHistory
VTRSViatris IncStock19,566$265.0K<0.1%−6,789−25.8%ReducedHistory
First Tr Exchng Traded FD VI33740F649FT VEST NAS11,274$265.0K<0.1%+11,274New–
NGVTIngevity CorpCOM3,692$265.0K<0.1%+657+21.6%AddedHistory
WIREEncore Wire CorpCOM1,865$267.0K<0.1%+1,865NewHistory
iShares Russell 1000 Value ETF464287598ETF1,595$268.0K<0.1%+1+0.1%Added–
SCCOSouthern Copper CorpStock4,351$269.0K<0.1%+4,351NewHistory
TXNTexas Instruments IncStock1,429$269.0K<0.1%−586−29.1%ReducedHistory
Amplify ETF Tr032108888BLACKSWAN GRWT7,840$271.0K<0.1%+7,840New–
GESGuess IncCOM11,430$271.0K<0.1%−900−7.3%ReducedHistory
iShares Tr464287796U.S. ENERGY ETF9,031$272.0K<0.1%−885−8.9%Reduced–
MVTBlackRock Munivest Fund II, Inc.COM17,140$272.0K<0.1%+1,320+8.3%AddedHistory
LTHMLivent Corp.COM11,175$272.0K<0.1%+11,175NewHistory
First Tr Exchange Traded FD33738R811NASDQ SEMCNDTR3,369$273.0K<0.1%+3,369New–
UUnity Software Inc.COM1,906$273.0K<0.1%+225+13.4%AddedHistory
DDDuPont de Nemours, Inc.COM3,384$273.0K<0.1%+116+3.5%AddedHistory
RFICohen & Steers Total Return Realty Fund IncCOM16,000$275.0K<0.1%00.0%UnchangedHistory
BNYBank of New York Mellon CorpStock4,818$280.0K<0.1%−86−1.8%ReducedHistory
ANETArista Networks, Inc.COM1,958$281.0K<0.1%+1,958NewHistory
Griffin Cap Essent Asset CL E Opf39818P880COM42,248$281.0K<0.1%00.0%Unchanged–
WESWestern Midstream Partners, LPCOM UNIT LP INT12,650$282.0K<0.1%00.0%UnchangedHistory
RSGRepublic Services, Inc.COM2,033$283.0K<0.1%−38−1.8%ReducedHistory
iShares Inc46434G855MSCI GBL GOLD MN10,500$283.0K<0.1%−342−3.2%Reduced–
SMSISmith Micro Software, Inc.COM NEW57,875$285.0K<0.1%+5,725+11.0%AddedHistory
Invesco Exchange Traded FD T46137V506DIVID ACHIEVEV7,200$286.0K<0.1%−1,294−15.2%Reduced–
WYNNWynn Resorts LtdCOM3,375$287.0K<0.1%+554+19.6%AddedHistory
BEPBrookfield Renewable Partners L.P.PARTNERSHIP UNIT8,008$287.0K<0.1%−12−0.1%ReducedHistory
PNCPNC Financial Services Group, Inc.Stock1,440$289.0K<0.1%+1,440NewHistory
Westpac Banking Corp961214301SPONSORED ADR18,800$290.0K<0.1%−700−3.6%Reduced–
iShares Tr46434VBA7IBONDS DEC22 ETF11,628$292.0K<0.1%+128+1.1%Added–
CECelanese CorpStock1,750$294.0K<0.1%+1+0.1%AddedHistory
ETREntergy CorpCOM2,608$294.0K<0.1%00.0%UnchangedHistory
KMBKimberly Clark CorpStock2,068$295.0K<0.1%−211−9.3%ReducedHistory
PSXPhillips 66Stock4,067$295.0K<0.1%+111+2.8%AddedHistory
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF5,956$295.0K<0.1%−3,764−38.7%Reduced–
PLTRPalantir Technologies Inc.Stock16,248$296.0K<0.1%+1,062+7.0%AddedHistory
LKQLKQ CorpCOM4,962$298.0K<0.1%−120−2.4%ReducedHistory
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF2,253$299.0K<0.1%+294+15.0%Added–
PMPhilip Morris International Inc.Stock3,151$299.0K<0.1%−1,716−35.3%ReducedHistory
URIUnited Rentals, Inc.COM899$299.0K<0.1%+51+6.0%AddedHistory
GBTCGrayscale Bitcoin Trust ETFETF8,757$300.0K<0.1%+1,075+14.0%AddedHistory
DBDDiebold Nixdorf, IncCOM33,131$300.0K<0.1%−4,102−11.0%ReducedHistory
DNPDNP Select Income Fund IncCOM27,686$301.0K<0.1%+2,676+10.7%AddedHistory
BAMBrookfield Asset Management Ltd.CL A LTD VT SH4,986$301.0K<0.1%−511−9.3%ReducedHistory
ASMLASML Holding NVADR383$305.0K<0.1%+7+1.9%AddedHistory
Vanguard Financials ETF92204A405ETF3,157$305.0K<0.1%+689+27.9%Added–
iShares Tr46435U366SELF DRIVNG EV5,643$306.0K<0.1%−9,900−63.7%Reduced–
NDAQNasdaq, Inc.COM1,460$307.0K<0.1%+1,460NewHistory
iShares Tr464288281JPMORGAN USD EMG2,833$309.0K<0.1%−452−13.8%Reduced–
PEGPublic Service Enterprise Group IncCOM4,637$309.0K<0.1%+4,637NewHistory
VRSNVerisign IncCOM1,218$309.0K<0.1%+200+19.6%AddedHistory
ARK Blockchain & Fintech Innovation ETF00214Q708ETF7,590$310.0K<0.1%−268−3.4%Reduced–
PHParker-Hannifin CorpStock975$310.0K<0.1%+209+27.3%AddedHistory
Dimensional ETF Trust25434V104US CORE EQT MKT9,428$311.0K<0.1%+1,146+13.8%Added–
TROWPrice T Rowe Group IncStock1,590$313.0K<0.1%−1,798−53.1%ReducedHistory
iShares IV PLC Usd Ultrash BD ETFG4955M341ETF3,150$313.0K<0.1%00.0%Unchanged–
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM29,465$314.0K<0.1%−255−0.9%ReducedHistory
iShares Tr464287812US CONSM STAPLES1,574$315.0K<0.1%+1,574New–
OXYOccidental Petroleum CorpStock10,910$316.0K<0.1%−250−2.2%ReducedHistory
BGSB&G Foods, Inc.COM10,283$316.0K<0.1%−4,514−30.5%ReducedHistory
PRUPrudential Financial IncStock2,925$317.0K<0.1%−169−5.5%ReducedHistory
Invesco Exchange Traded FD T46137V779BLDG CONSTR ETF5,800$317.0K<0.1%−775−11.8%Reduced–
FTCVFintech Acquisition Corp VCOM CL A32,000$317.0K<0.1%+32,000NewHistory
SYKStryker CorpStock1,190$318.0K<0.1%−990−45.4%ReducedHistory
STXSStereotaxis, Inc.COM NEW51,315$318.0K<0.1%+51,315NewHistory
SPDR Ser Tr78464A813S&P 600 SML CAP3,200$318.0K<0.1%00.0%Unchanged–
KDKyndryl Holdings, Inc.Stock17,649$319.0K<0.1%+17,649NewHistory
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM5,064$320.0K<0.1%+5,064New–
iShares S&P Small-Cap 600 Growth ETF464287887ETF2,311$321.0K<0.1%−11−0.5%Reduced–
ANSSAnsys IncCOM801$321.0K<0.1%−540−40.3%ReducedHistory
ZBRAZebra Technologies CorpCL A543$323.0K<0.1%−48−8.1%ReducedHistory
JQCNuveen Credit Strategies Income FundCOM SHS50,161$326.0K<0.1%−17,057−25.4%ReducedHistory
BHKBlackRock Core Bond TrustSHS BEN INT19,805$327.0K<0.1%+2,101+11.9%AddedHistory
SOFISoFi Technologies, Inc.Stock20,791$329.0K<0.1%+1,909+10.1%AddedHistory
KKRKKR & Co. Inc.COM4,414$329.0K<0.1%+205+4.9%AddedHistory
CHXChampionX CorpCOM16,281$329.0K<0.1%+41+0.3%AddedHistory

Options (14)

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 Q4 2021
SecurityClassPutsCalls
First Trust Cloud Computing ETF33734X192ETF$1.42M–
CSCOCisco Systems, Inc.Stock$14.0K$98.0K
ANFAbercrombie & Fitch CoCL A$18.0K$62.0K
AMZNAmazon Com IncStock$77.0K–
TSLATesla, Inc.Stock$32.0K–
PFEPfizer IncStock–$30.0K
FFord Motor CoStock–$29.0K
AAPLApple Inc.Stock$0$13.0K
DOCUDocuSign, Inc.Stock$5.00K–
DBDDiebold Nixdorf, IncCOM–$4.00K
DOWDow Inc.Stock–$2.00K
MATMattel IncCOM–$2.00K
BPBP PLCADR$1.00K$0
TGTTarget CorpStock$1.00K–

Sold out since Q3 2021 (75)

Positions held at the end of Q3 2021 that are gone from this filing.

Positions of Kovack Advisors, Inc. sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
Global X FDS37954Y228CLEANTECH ETF192,556$3.59M0.4%–
SPDR Ser Tr78468R655S&P KENSHO CLEAN38,187$3.59M0.4%–
Zix Corp98974P100COM357,950$2.53M0.3%–
First Trust Cloud Computing ETF33734X192ETF14,340$1.51M0.2%–
SPDR Series Trust78468R408ST TERM HIGH ETF41,661$1.14M0.1%–
UPSTUpstart Holdings, Inc.COM3,155$998.0K0.1%History
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS32,059$677.0K0.1%History
Invesco BulletShares 2021 HY Corp (BSJL)46138J809Exchange Traded Fund27,975$643.0K0.1%–
SGENSeagen Inc.COM3,724$632.0K0.1%History
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY26,191$609.0K0.1%–
SPLKSplunk IncCOM3,855$558.0K0.1%History
NVRONevro CorpCOM4,700$547.0K0.1%History
BSCLBILI Social International, Inc.BULSHS 2021 CB23,430$494.0K0.1%History
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB22,895$493.0K0.1%–
PKGPackaging Corp of AmericaStock3,030$416.0K<0.1%History
iShares Tr464288588MBS ETF3,600$389.0K<0.1%–
iShares Tr464289883CORE 30 70 ETF9,617$380.0K<0.1%–
EMREmerson Electric CoStock3,984$375.0K<0.1%History
CCLCarnival Corp Ltd.UNIT 99/99/999914,739$369.0K<0.1%History
MKTXMarketaxess Holdings IncCOM872$367.0K<0.1%History
ACVVirtus Diversified Income & Convertible FundCOM10,500$356.0K<0.1%History
Legg Mason ETF Invt Tr52468L810WESTN ASET TTL13,000$350.0K<0.1%–
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN10010,223$338.0K<0.1%–
iShares Tr464287580US CONSUM DISCRE4,335$335.0K<0.1%–
FUBOFuboTV Inc.COM13,800$331.0K<0.1%History
iShares Tr464288851US OIL GS EX ETF5,703$331.0K<0.1%–
Invesco Exch Traded FD Tr II46138E107EQUAL WEGT 0-309,000$327.0K<0.1%–
JDJD.com, Inc.SPON ADS CL A4,522$327.0K<0.1%History
Invesco Exchange Traded FD T46137V621FINL PFD ETF17,188$326.0K<0.1%–
iShares Tr46435G672CORE INTL AGGR5,906$325.0K<0.1%–
CMICummins IncStock1,418$318.0K<0.1%History
NPTNNeophotonics CorpCOM36,500$318.0K<0.1%History
First Tr Exchange-Traded FD33734X150INDLS PROD DUR5,522$317.0K<0.1%–
DALDelta Air Lines, Inc.COM NEW7,280$310.0K<0.1%History
iShares U.S. Regional Banks ETF464288778ETF5,066$307.0K<0.1%–
TMDXTransMedics Group, Inc.COM9,200$304.0K<0.1%History
ZMZoom Communications, Inc.Stock1,127$295.0K<0.1%History
DKNGDraftKings Inc.COM CL A6,077$293.0K<0.1%History
TBBAT&T Inc.5.35% GBL NTS DUE 01/11/6610,900$286.0K<0.1%History
MDYSPDR S&P Midcap 400 ETF TrustETF591$284.0K<0.1%History
Fidelity Merrimack STR Tr316188309TOTAL BD ETF5,341$284.0K<0.1%–
CGNXCognex CorpCOM3,516$282.0K<0.1%History
AALAmerican Airlines Group Inc.Stock13,477$277.0K<0.1%History
Invesco Exch Traded FD Tr II46138G805TAXABLE MUN BD8,351$275.0K<0.1%–
Innovator U.S. Equity Ultra Buffer ETF - October45782C821ETF9,712$270.0K<0.1%–
HPHelmerich & Payne, Inc.COM9,776$268.0K<0.1%History
RHRHCOM400$267.0K<0.1%History
KDMNKadmon Holdings, Inc.COM30,000$261.0K<0.1%History
EXASExact Sciences CorpCOM2,635$252.0K<0.1%History
SYYSysco CorpStock3,150$247.0K<0.1%History
Steadfast Apartment REIT, Inc.85780P101COMMON STOCK15,664$244.0K<0.1%–
LYBLyondellBasell Industries N.V.SHS - A -2,582$242.0K<0.1%History
LUVSouthwest Airlines CoCOM4,704$242.0K<0.1%History
HBANHuntington Bancshares IncCOM15,236$236.0K<0.1%History
YUMCYum China Holdings, Inc.COM4,045$235.0K<0.1%History
DMTKDermTech, Inc.COM7,300$234.0K<0.1%History
VTAInvesco Dynamic Credit Opportunities FundCOM19,938$233.0K<0.1%History
CHTRCharter Communications, Inc.CL A316$230.0K<0.1%History
RCLRoyal Caribbean Cruises LtdCOM2,505$223.0K<0.1%History
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF3,035$222.0K<0.1%–
CTVACorteva, Inc.Stock5,238$220.0K<0.1%History
VTRVentas, Inc.REIT3,876$214.0K<0.1%History
MDLZMondelez International, Inc.Stock3,621$211.0K<0.1%History
iShares Tr4642874407-10 YR TRSY BD1,802$208.0K<0.1%–
KMIKinder Morgan, Inc.Stock12,358$207.0K<0.1%History
LBRDKLiberty Broadband CorpCOM SER C1,200$207.0K<0.1%History
JGHNuveen Global High Income FundSHS12,700$204.0K<0.1%History
CSGPCostar Group, Inc.COM2,348$202.0K<0.1%History
Griffin American Healthcare398183103COM32,842$184.0K<0.1%–
ZNGAZynga IncCL A23,420$176.0K<0.1%History
PBIPitney Bowes IncCOM21,272$153.0K<0.1%History
SANBanco Santander, S.A.ADR20,478$74.0K<0.1%History
ATP Oil & Gas Corp00208J108COM71,860$00.0%–
Advanced Viral Resh Corp Com007928104COM20,000$00.0%–
Anr - Contingent Rev Pymt Thru03634H118RT25,269$00.0%–