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Livermore
Livermore
ZHEN

Kovack Advisors, Inc.

SEC CIK
0001728321
Latest filing
Jul 28, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Oct 19, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
548
−29 vs. Q2 2023
Portfolio value
$715.7M
−$63.7M (−8.2%) vs. Q2 2023
Filed
Oct 19, 2023
SEC
Holdings of Kovack Advisors, Inc. in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
Cybin Ord23256X100COM10,000$5.31K<0.1%+10,000New–
Liberty Media Corp530715AL5DEB 3.750% 2/130,000$7.28K<0.1%00.0%Unchanged–
OPKOpko Health, Inc.COM11,300$18.1K<0.1%00.0%UnchangedHistory
PLPlanet Labs PBCCOM CL A12,419$32.3K<0.1%00.0%UnchangedHistory
WOOFPetco Health & Wellness Company, Inc.CL A COM10,000$40.9K<0.1%+10,000NewHistory
SANBanco Santander, S.A.ADR12,958$48.7K<0.1%00.0%UnchangedHistory
TERNTerns Pharmaceuticals, Inc.COM10,200$51.3K<0.1%+10,200NewHistory
RFILR F Industries LtdCOM PAR $0.0117,994$54.2K<0.1%−6,200−25.6%ReducedHistory
HIXWestern Asset High Income Fund II Inc.COM14,231$63.5K<0.1%+421+3.0%AddedHistory
IGRCbre Global Real Estate Income FundCOM14,415$64.9K<0.1%+3,842+36.3%AddedHistory
OXLCOxford Lane Capital Corp.COM13,297$66.4K<0.1%+359+2.8%AddedHistory
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM13,843$67.8K<0.1%−8,000−36.6%ReducedHistory
OCCIOFS Credit Company, Inc.COM10,228$72.5K<0.1%−3,013−22.8%ReducedHistory
USALiberty All Star Equity FundSH BEN INT12,256$72.6K<0.1%+617+5.3%AddedHistory
ACPabrdn Income Credit Strategies FundCOM10,815$73.5K<0.1%−1,032−8.7%ReducedHistory
BRSPBrightSpire Capital, Inc.COM CL A13,535$84.7K<0.1%+63+0.5%AddedHistory
GUTGabelli Utility TrustCOM17,125$90.8K<0.1%−1,868−9.8%ReducedHistory
NCMINational CineMedia, Inc.COM NEW21,717$97.5K<0.1%+21,717NewHistory
SJTSan Juan Basin Royalty TrustUNIT BEN INT15,000$104.0K<0.1%00.0%UnchangedHistory
HLNHaleon plcADR13,135$109.4K<0.1%−113−0.9%ReducedHistory
PAIWestern Asset Investment Grade Income Fund Inc.COM10,000$112.5K<0.1%−1,000−9.1%ReducedHistory
Direxion Shs ETF Tr25490K323SP BIOTCH BL NEW30,000$114.3K<0.1%+16,000+114.3%Added–
PRTHPriority Technology Holdings, Inc.COM35,800$116.0K<0.1%−4,000−10.1%ReducedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT15,465$116.9K<0.1%+4,404+39.8%AddedHistory
HNWPioneer Diversified High Income Fund, Inc.COM11,502$117.5K<0.1%+38+0.3%AddedHistory
Golden Ocean Group LtdG39637205SHS NEW15,017$118.3K<0.1%+15,017New–
HUMAHumacyte, Inc.COM42,000$123.1K<0.1%+2,000+5.0%AddedHistory
RABrookfield Real Assets Income Fund Inc.SHS BEN INT10,337$126.6K<0.1%+10,337NewHistory
LLAPTerran Orbital CorpCOM155,000$129.0K<0.1%+80,000+106.7%AddedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT36,946$135.2K<0.1%−5,935−13.8%ReducedHistory
ECCEagle Point Credit CoCOM13,493$137.0K<0.1%−1,432−9.6%ReducedHistory
Nuveen PFD & Incm Securties67072C105COM23,000$141.9K<0.1%+500+2.2%Added–
CSQCalamos Strategic Total Return FundCOM SH BEN INT10,092$142.0K<0.1%00.0%UnchangedHistory
ARRArmour Residential REIT, Inc.COM NEW33,508$142.4K<0.1%+5,794+20.9%AddedHistory
First Tr MLP & Energy Incom33739B104COM18,116$143.3K<0.1%+3,366+22.8%Added–
Invesco Exch Traded FD Tr II46138E511PFD ETF13,311$145.8K<0.1%−714−5.1%Reduced–
NUNu Holdings Ltd.ORD SHS CL A20,135$146.0K<0.1%−2,075−9.3%ReducedHistory
MPTMedical Properties Trust IncCOM26,944$146.8K<0.1%−33,236−55.2%ReducedHistory
FSCOFS Credit Opportunities Corp.COMMON STOCK27,112$146.9K<0.1%−11,786−30.3%ReducedHistory
BXMXNuveen S&P 500 BuyWrite Income FundCOM11,778$149.1K<0.1%+1,244+11.8%AddedHistory
RCSPIMCO Strategic Income Fund, Inc.CEF28,095$149.2K<0.1%+700+2.6%AddedHistory
FTHYFirst Trust High Yield Opportunities 2027 Term FundCOM11,200$149.2K<0.1%00.0%UnchangedHistory
HBANHuntington Bancshares IncCOM15,346$159.6K<0.1%+517+3.5%AddedHistory
HRZNHorizon Technology Finance CorpCOM13,451$159.8K<0.1%+2,448+22.2%AddedHistory
IGAVoya Global Advantage & Premium Opportunity FundCOM19,929$165.4K<0.1%+9,107+84.2%AddedHistory
Paramount Global92556H206CL B13,102$169.0K<0.1%+430+3.4%Added–
DXDynex Capital IncCOM14,173$169.2K<0.1%−532−3.6%ReducedHistory
VanEck ETF Trust92189F411BDC INCOME ETF10,612$170.1K<0.1%+204+2.0%Added–
RELLRichardson Electronics, Ltd.COM16,100$176.0K<0.1%+16,100NewHistory
DSLDoubleLine Income Solutions FundCOM15,489$181.5K<0.1%+520+3.5%AddedHistory
RVTRoyce Small-Cap Trust, Inc.COM14,411$185.5K<0.1%−2,764−16.1%ReducedHistory
ProShares Tr74347B714SHORT QQQ NEW17,090$186.1K<0.1%−19,400−53.2%Reduced–
OMOutset Medical, Inc.COM17,125$186.3K<0.1%+3,275+23.6%AddedHistory
VTRSViatris IncStock19,100$188.3K<0.1%+425+2.3%AddedHistory
LICYLi-Cycle Holdings Corp.COMMON SHARES53,148$188.7K<0.1%+5,748+12.1%AddedHistory
DZSIDZS Inc.COM92,700$194.7K<0.1%−3,100−3.2%ReducedHistory
Global X FDS37954Y806ALTERNATIVE INCM18,228$196.1K<0.1%+907+5.2%Added–
TMToyota Motor CorpADS1,114$200.2K<0.1%−344−23.6%ReducedHistory
BHKBlackRock Core Bond TrustSHS BEN INT20,180$200.6K<0.1%+110+0.5%AddedHistory
First Tr Exchng Traded FD VI33740U836FT VEST NAS9,258$200.7K<0.1%+9,258New–
METMetlife IncStock3,196$201.1K<0.1%+3,196NewHistory
ULUnilever PLCSPON ADR NEW4,072$201.2K<0.1%+14+0.3%AddedHistory
iShares Tr4642874407-10 YR TRSY BD2,217$203.0K<0.1%+2,217New–
State Street Materials Select Sector SPDR ETF81369Y100ETF2,595$203.8K<0.1%−225−8.0%Reduced–
PKSTPeakstone Realty TrustCommon Stock12,252$203.9K<0.1%+12,252NewHistory
HESMHess Midstream LPCL A SHS7,000$203.9K<0.1%00.0%UnchangedHistory
COFCapital One Financial CorpStock2,104$204.2K<0.1%00.0%UnchangedHistory
State Street SPDR S&P Semiconductor ETF78464A862ETF1,045$204.7K<0.1%+1+0.1%Added–
Franklin Templeton ETF Tr35473P744FTSE JAPAN ETF7,744$204.8K<0.1%+7,744New–
AEEAmeren CorpCOM2,752$206.0K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD9,210$206.0K<0.1%−800−8.0%Reduced–
MRVLMarvell Technology, Inc.COM3,825$207.0K<0.1%−67−1.7%ReducedHistory
STXSeagate Technology Holdings plcORD SHS3,148$207.6K<0.1%+3,148NewHistory
EXCExelon CorpStock5,512$208.3K<0.1%+5,512NewHistory
Invesco Exch Traded FD Tr II46138E610KBW HIG DV YLD13,732$208.6K<0.1%+993+7.8%Added–
CRNCCerence Inc.COM10,250$208.8K<0.1%+10,250NewHistory
RGRSturm Ruger & Co IncStock4,010$209.0K<0.1%−497−11.0%ReducedHistory
CTRACoterra Energy Inc.Stock7,752$209.7K<0.1%+7,752NewHistory
WBAWalgreens Boots Alliance, Inc.COM9,452$210.2K<0.1%−333−3.4%ReducedHistory
USOUnited States Oil Fund, LPUNITS2,603$210.5K<0.1%−1,150−30.6%ReducedHistory
iShares Russell 1000 Value ETF464287598ETF1,388$210.8K<0.1%−56−3.9%Reduced–
MVTBlackRock Munivest Fund II, Inc.COM22,808$211.9K<0.1%+2,071+10.0%AddedHistory
iShares Tr464288588MBS ETF2,393$212.5K<0.1%−3−0.1%Reduced–
BTIBritish American Tobacco p.l.c.SPONSORED ADR6,807$213.8K<0.1%−707−9.4%ReducedHistory
Dimensional World Ex U.S. Core Equity 2 ETF25434V880ETF9,520$214.4K<0.1%00.0%Unchanged–
LANDGladstone Land CorpCOM15,082$214.6K<0.1%+647+4.5%AddedHistory
CEGConstellation Energy CorpStock1,993$217.4K<0.1%+1,993NewHistory
DMLPDorchester Minerals, L.P.COM UNIT7,500$217.9K<0.1%+100+1.4%AddedHistory
MUMicron Technology IncStock3,208$218.2K<0.1%−219−6.4%ReducedHistory
AIC3.ai, Inc.Stock8,571$218.7K<0.1%−184−2.1%ReducedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT21,098$220.1K<0.1%−13,410−38.9%ReducedHistory
Vanguard Morningstar Small-Cap Growth ETF922908595ETF1,034$221.4K<0.1%−256−19.8%Reduced–
SNAPSnap IncStock25,185$224.4K<0.1%00.0%UnchangedHistory
ADPAutomatic Data Processing IncStock935$225.1K<0.1%+4+0.4%AddedHistory
First Tr Exchng Traded FD VI33740F847FT VEST US EQT5,796$225.3K<0.1%−225−3.7%Reduced–
UTFCohen & Steers Infrastructure Fund IncCOM11,587$226.9K<0.1%−3,355−22.5%ReducedHistory
Advisorshares Tr00768Y560ADVISORSHS ETF4,354$227.1K<0.1%+4,354New–
BNYBank of New York Mellon CorpStock5,372$229.1K<0.1%−277−4.9%ReducedHistory
OKTAOkta, Inc.CL A2,829$230.6K<0.1%−69−2.4%ReducedHistory
State Street SPDR S&P Regional Banking ETF78464A698ETF5,524$230.7K<0.1%−10,779−66.1%Reduced–

Options (3)

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 2023
SecurityClassPutsCalls
Global X FDS37954Y459RUSSELL 2000–$848.6K
Global X FDS37954Y475S&P 500 COVERED–$418.1K
Global X FDS37954Y277S&P 500 COVERED–$2.66K

Sold out since Q2 2023 (73)

Positions held at the end of Q2 2023 that are gone from this filing.

Positions of Kovack Advisors, Inc. sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD58,855$2.60M0.3%–
CVRXCVRx, Inc.COM86,113$1.33M0.2%History
First Tr Exchng Traded FD VI33740F789MLT MNGD LRG GRW51,000$1.10M0.1%–
Northern LTS FD Tr III66538R722CP HI YLD TRND42,000$884.2K0.1%–
ProShares Tr74348A210SHRT RUSSELL200037,200$849.3K0.1%–
Pgim ETF Tr69344A107PGIM ULTRA SH BD17,170$848.3K0.1%–
iShares S&P 500 Growth ETF464287309ETF11,985$844.7K0.1%–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF21,121$783.2K0.1%–
IDXXIDEXX Laboratories IncCOM1,484$745.1K0.1%History
iShares U.S. Treasury Bond ETF46429B267ETF30,424$696.7K0.1%–
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL4,955$529.7K0.1%–
Innovator ETFs Tr45782C102IBD 50 ETF20,635$527.8K0.1%–
GMGeneral Motors CoCOM13,368$515.5K0.1%History
SHWSherwin Williams CoCOM1,818$482.6K0.1%History
iShares Tr464289180MSCI EURO FL ETF25,000$479.5K0.1%–
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX13,799$475.0K0.1%–
First Tr Exchange Traded FD33738R605DORSEY WRT 5 ETF10,026$470.3K0.1%–
First Tr Exchange-Traded FD33734X200DJ GLBL DIVID21,833$468.1K0.1%–
PGRProgressive CorpStock3,257$431.1K0.1%History
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF7,223$369.5K<0.1%–
IFFInternational Flavors & Fragrances IncCOM4,620$367.7K<0.1%History
VODVodafone Group Public Ltd CoADR38,003$359.1K<0.1%History
ELVElevance Health, Inc.Stock799$355.1K<0.1%History
CAGConagra Brands Inc.Stock10,056$339.1K<0.1%History
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF7,597$295.1K<0.1%–
First Tr Exchange-Traded FD33737K205INDXX NEXTG ETF4,073$292.4K<0.1%–
RTLNecessity Retail REIT, Inc.COM CLASS A42,459$287.0K<0.1%History
IAUMiShares Gold Trust MicroSHS REPSTG UN TR14,642$280.8K<0.1%History
ULTAUlta Beauty, Inc.Stock588$276.7K<0.1%History
UHSUniversal Health Services IncCL B1,711$269.9K<0.1%History
XYZBlock, Inc.CL A4,030$268.3K<0.1%History
iShares Tr46435U713US INFRASTRUC6,865$268.3K<0.1%–
First Tr Exchange-Traded FD33738R852NASDQ FOD BVRG10,223$268.0K<0.1%–
Innovator ETFs Trust45782C672US EQT ULTRA BF9,299$268.0K<0.1%–
AEMAgnico Eagle Mines LtdStock5,271$263.5K<0.1%History
First Tr Exchng Traded FD VI33740F649FT VEST NAS11,231$251.5K<0.1%–
SCHWSchwab Charles CorpStock4,405$249.7K<0.1%History
First Tr Exchange-Traded FD33733B100WTR ETF2,819$249.7K<0.1%–
AMTAmerican Tower CorpREIT1,250$242.4K<0.1%History
First Tr Exchange Traded FD33734X143HLTH CARE ALPH2,216$240.1K<0.1%–
EXASExact Sciences CorpCOM2,434$228.6K<0.1%History
VECOVeeco Instruments IncCOM8,875$227.9K<0.1%History
First Tr Ftse Epra / Nareit33736N101COM5,592$225.3K<0.1%–
JRONuveen Floating Rate Income Opportunity FundCOM SHS28,718$224.0K<0.1%History
ORealty Income CorpREIT3,697$221.0K<0.1%History
Schwab U.S. Large-Cap ETF808524201ETF4,108$215.1K<0.1%–
AZNAstraZeneca PLCSPONSORED ADR2,994$214.3K<0.1%History
TSCOTractor Supply CoCOM964$213.2K<0.1%History
DFSDiscover Financial ServicesCOM1,822$212.9K<0.1%History
iShares Tr464287796U.S. ENERGY ETF4,967$212.8K<0.1%–
CPBCAMPBELL'S CoCOM4,614$210.9K<0.1%History
ANETArista Networks, Inc.COM1,293$209.5K<0.1%History
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF1,722$209.3K<0.1%–
iShares S&P 500 Value ETF464287408ETF1,282$206.7K<0.1%–
iShares Tr464288638ISHS 5-10YR INVT4,069$205.8K<0.1%–
iShares Select Dividend ETF464287168ETF1,807$204.7K<0.1%–
DALDelta Air Lines, Inc.COM NEW4,306$204.7K<0.1%History
Invesco Exchange Traded FD T46137V100AEROSPACE DEFN2,417$204.1K<0.1%–
AIRAar CorpStock3,500$202.2K<0.1%History
iShares MSCI Eafe ETF464287465ETF2,787$202.1K<0.1%–
SYKStryker CorpStock662$202.0K<0.1%History
GOFGuggenheim Strategic Opportunities FundCOM SBI11,582$184.2K<0.1%History
CTGComputer Task Group IncCOM19,300$146.9K<0.1%History
GSBDGoldman Sachs BDC, Inc.SHS10,000$138.6K<0.1%History
NCMINational CineMedia, Inc.COM333,273$112.3K<0.1%History
PCFHigh Income Securities FundSHS BEN INT14,687$95.2K<0.1%History
Tricon Residential Inc Com NPV89612W102COM10,200$89.9K<0.1%–
ZTRVirtus Total Return Fund Inc.COM13,654$83.0K<0.1%History
JQCNuveen Credit Strategies Income FundCOM SHS15,202$76.8K<0.1%History
NSLNuveen Senior Income FundCOM10,000$45.8K<0.1%History
LUMNLumen Technologies, Inc.Stock10,722$24.2K<0.1%History
SMSISmith Micro Software, Inc.COM NEW10,725$11.9K<0.1%History
MSP Recovery, Inc.553745126*W EXP 05/20/20294,400$378<0.1%–