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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
EMREmerson Electric CoStock2,392$231.0K<0.1%+2,392NewHistory
AIGAmerican International Group, Inc.Stock3,812$231.0K<0.1%+3,812NewHistory
CLColgate Palmolive CoStock3,277$233.0K<0.1%+3,277NewHistory
iShares MSCI USA Momentum Factor ETF46432F396ETF1,670$233.2K<0.1%−1,088−39.4%Reduced–
BBDCBarings BDC, Inc.COM26,214$233.6K<0.1%+840+3.3%AddedHistory
Etfis Ser Tr I26923G772INFRAC ACT MLP6,720$234.9K<0.1%00.0%Unchanged–
NUENucor CorpCOM1,507$235.6K<0.1%−18−1.2%ReducedHistory
KMBKimberly Clark CorpStock2,000$241.7K<0.1%−76−3.7%ReducedHistory
APOApollo Global Management, Inc.COM2,711$243.4K<0.1%−43−1.6%ReducedHistory
iShares Tr46432F875MRNGSTR INC ETF12,805$243.8K<0.1%−5,560−30.3%Reduced–
iShares Tr464288760US AER DEF ETF2,303$244.1K<0.1%+2,303New–
TDYTeledyne Technologies IncCOM598$244.3K<0.1%00.0%UnchangedHistory
PNNTPennantpark Investment CorpCOM37,150$244.4K<0.1%+2,600+7.5%AddedHistory
Global X FDS37954Y673US INFR DEV ETF8,058$244.8K<0.1%+590+7.9%Added–
iShares Tr464288513IBOXX HI YD ETF3,333$245.7K<0.1%−247−6.9%Reduced–
DBXDropbox, Inc.CL A9,175$249.8K<0.1%−2,125−18.8%ReducedHistory
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF6,079$250.8K<0.1%−1,165−16.1%Reduced–
NOKNokia CorpSPONSORED ADR67,512$252.5K<0.1%+1,100+1.7%AddedHistory
WisdomTree Tr97717W307US LARGECAP DIVD4,129$253.9K<0.1%00.0%Unchanged–
ALBAlbemarle CorpStock1,500$255.1K<0.1%+345+29.9%AddedHistory
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM12,901$255.8K<0.1%−2,299−15.1%ReducedHistory
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF3,385$257.2K<0.1%−78−2.3%Reduced–
TFCTruist Financial CorpCOM9,002$257.5K<0.1%+463+5.4%AddedHistory
SKINSkinHealth Systems Inc.COM CL A43,000$258.9K<0.1%+2,200+5.4%AddedHistory
iShares Tr46428743220 YR TR BD ETF2,946$261.3K<0.1%+615+26.4%Added–
HIWHighwoods Properties, Inc.COM12,821$264.2K<0.1%+12,821NewHistory
KHCKraft Heinz CoStock7,863$264.5K<0.1%+804+11.4%AddedHistory
AVAVAeroVironment IncCOM2,373$264.7K<0.1%+2,373NewHistory
ETREntergy CorpCOM2,870$265.5K<0.1%+2,870NewHistory
iShares Tr464289875CORE 40 MODE ETF6,838$266.2K<0.1%+802+13.3%Added–
First Tr Exchng Traded FD VI33740F862FT VEST US EQT7,145$267.1K<0.1%+779+12.2%Added–
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD9,038$268.7K<0.1%00.0%UnchangedHistory
Ssga Active ETF Tr78467V608ST STR BL LN ETF6,477$271.6K<0.1%00.0%Unchanged–
iShares Tr464288307MRGSTR MD CP GRW4,813$275.0K<0.1%−439−8.4%Reduced–
REGNRegeneron Pharmaceuticals, Inc.COM335$275.7K<0.1%+6+1.8%AddedHistory
ZSZscaler, Inc.Stock1,786$277.9K<0.1%−1,543−46.4%ReducedHistory
KKRKKR & Co. Inc.COM4,533$279.3K<0.1%+514+12.8%AddedHistory
BNLBroadstone Net Lease, Inc.COM19,570$279.8K<0.1%−824−4.0%ReducedHistory
First Tr Exchange-Traded FD33734X101CONSUMR DISCRE5,495$280.3K<0.1%+447+8.9%Added–
NSCNorfolk Southern CorpStock1,426$280.9K<0.1%+452+46.4%AddedHistory
iShares MSCI USA Quality Factor ETF46432F339ETF2,152$283.6K<0.1%+52+2.5%Added–
ADCAgree Realty CorpCOM5,166$285.4K<0.1%+5,166NewHistory
VICIVici Properties Inc.COM9,867$287.1K<0.1%+9,867NewHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR3,307$287.3K<0.1%+20+0.6%AddedHistory
BXMTBlackstone Mortgage Trust, Inc.COM CL A13,246$288.1K<0.1%−3,591−21.3%ReducedHistory
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF4,418$288.2K<0.1%+194+4.6%Added–
AEPAmerican Electric Power Co IncStock3,835$288.4K<0.1%−1,332−25.8%ReducedHistory
VanEck ETF Trust92189F429PREFERRED SECURT17,185$288.9K<0.1%−2,925−14.5%Reduced–
OGEOGE Energy Corp.COM8,680$289.3K<0.1%−4,249−32.9%ReducedHistory
iShares Tr464287556ISHARES BIOTECH2,379$290.9K<0.1%00.0%Unchanged–
ITWIllinois Tool Works IncStock1,267$291.7K<0.1%−70−5.2%ReducedHistory
GSKGSK plcADR8,066$292.4K<0.1%−3,257−28.8%ReducedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM39,959$294.5K<0.1%+2,393+6.4%AddedHistory
BSMBlack Stone Minerals, L.P.COM UNIT17,260$297.4K<0.1%−3,625−17.4%ReducedHistory
HYTBlackRock Corporate High Yield Fund, Inc.COM34,610$298.7K<0.1%+5,300+18.1%AddedHistory
CRFCornerstone Total Return Fund IncCOM37,539$299.9K<0.1%−8,193−17.9%ReducedHistory
VanEck ETF Trust92189F106GOLD MINERS ETF11,158$300.3K<0.1%−14−0.1%Reduced–
QMCOQuantum CorpCOM NEW493,329$300.9K<0.1%−22,148−4.3%ReducedHistory
PDIPIMCO Dynamic Income FundSHS17,438$301.3K<0.1%−782−4.3%ReducedHistory
Invesco Exch Traded FD Tr II46138E362S&P500 HDL VOL7,690$301.4K<0.1%−674−8.1%Reduced–
WDAYWorkday, Inc.CL A1,406$302.1K<0.1%+254+22.0%AddedHistory
Vanguard Utilities ETF92204A876ETF2,373$302.7K<0.1%+9+0.4%Added–
STXSStereotaxis, Inc.COM NEW191,907$303.2K<0.1%+11,488+6.4%AddedHistory
PIMCO ETF Tr72201R7830-5 HIGH YIELD3,371$304.4K<0.1%−145−4.1%Reduced–
Strategy Shares Nasdaq 7HANDL Index ETF86280R506ETF15,937$304.6K<0.1%−745−4.5%Reduced–
CARRCarrier Global CorpStock5,533$305.4K<0.1%+287+5.5%AddedHistory
ISRGIntuitive Surgical IncCOM NEW1,045$305.4K<0.1%−50−4.6%ReducedHistory
Barrick Gold Corp067901108COM21,064$306.5K<0.1%+534+2.6%Added–
First Tr Exch Traded FD III33740J104ULTRA SHT DUR MU15,447$307.7K<0.1%−2,053−11.7%Reduced–
TXNTexas Instruments IncStock1,938$308.2K<0.1%+7+0.4%AddedHistory
BWABorgwarner IncCOM7,659$309.2K<0.1%−417−5.2%ReducedHistory
STAGSTAG Industrial, Inc.COM8,987$310.1K<0.1%−378−4.0%ReducedHistory
ANFAbercrombie & Fitch CoCL A5,553$313.0K<0.1%−3,400−38.0%ReducedHistory
DDDuPont de Nemours, Inc.COM4,207$313.8K<0.1%+694+19.8%AddedHistory
LADRLadder Capital CorpCL A30,825$316.3K<0.1%−1,277−4.0%ReducedHistory
VLOValero Energy CorpStock2,243$317.9K<0.1%+2,243NewHistory
WBDWarner Bros. Discovery, Inc.Stock29,285$318.0K<0.1%−10,352−26.1%ReducedHistory
GTLSChart Industries IncCOM1,886$319.0K<0.1%+1,886NewHistory
CMGChipotle Mexican Grill IncCOM176$322.4K<0.1%−49−21.8%ReducedHistory
DLRDigital Realty Trust, Inc.COM2,675$323.8K<0.1%+2,675NewHistory
First Tr Exchange-Traded FD33734X846NASDAQ CYB ETF7,159$325.2K<0.1%−970−11.9%Reduced–
APLEApple Hospitality REIT, Inc.REIT21,327$327.2K<0.1%+21,327NewHistory
BLKBlackRock, Inc.COM508$328.6K<0.1%−345−40.4%ReducedHistory
GDGeneral Dynamics CorpStock1,487$328.7K<0.1%+241+19.3%AddedHistory
CGCarlyle Group Inc.COM10,936$329.8K<0.1%+32+0.3%AddedHistory
BLDRBuilders FirstSource, Inc.Stock2,654$330.4K<0.1%−159−5.7%ReducedHistory
UNPUnion Pacific CorpStock1,629$331.8K<0.1%−6−0.4%ReducedHistory
First Tr Exchange-Traded FD33734X150INDLS PROD DUR5,779$331.9K<0.1%+409+7.6%Added–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT7,051$333.1K<0.1%−21,841−75.6%Reduced–
TJXTJX Companies IncStock3,749$333.2K<0.1%−25−0.7%ReducedHistory
iShares Tr464288885EAFE GRWTH ETF3,864$333.5K<0.1%−138−3.4%Reduced–
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH2,285$334.3K<0.1%−5,850−71.9%Reduced–
MCKMcKesson CorpStock769$334.5K<0.1%+75+10.8%AddedHistory
ACLSAxcelis Technologies IncStock2,071$337.7K<0.1%+291+16.3%AddedHistory
PSAPublic StorageCOM1,283$338.1K<0.1%−45−3.4%ReducedHistory
CCICrown Castle Inc.REIT3,688$339.4K<0.1%+3,688NewHistory
Invesco Exchange Traded FD T46137V530NASDAQ INTERNT11,100$340.5K<0.1%−3,300−22.9%ReducedConverted for a 5-for-1 split–
DOWDow Inc.Stock6,677$344.3K<0.1%−8,532−56.1%ReducedHistory
iShares Future AI & Tech ETF46435U556ETF11,291$344.8K<0.1%+2,400+27.0%Added–
CalAmp Corp.128126109COM853,100$346.0K<0.1%−107,350−11.2%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%–