John
Heroux

Kovack Advisors, Inc

CRD#4502714
Investment Advisor
in Santa Barbara, CA

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About this Advisor

John Heroux is a certified financial planner operating in Santa Barbara, California with a total of 6 years of industry experience. Heroux is an advisor for Kovack Advisors, Inc. Throughout their career, Heroux has worked at United Airlines, Tkg Financial, LLC and Kovack Securities, Inc. Heroux maintains Series 63 and Series 66 licenses, which qualify them as a securities representative, and is able to advise clients in California. Kovack Advisors, Inc is an advisory company that has its headquarters in Fort Lauderdale, FL. The firm has offices in 210 locations and a total of 330 employees. It administers $4 billion in total assets between its 14,593 customer accounts, making it one of the largest investment advisory firms in the country by assets under management. Of its 14,593 accounts, just 9% belong to high-net-worth investors who have at least $1 million in investable assets. The advisory firm performs a diverse assortment of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and selection of other advisers. Financial advisory fee schedules vary depending on which services the firm provides the client. Fee types billed by Kovack Advisors, Inc likely include some combination of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Series 66, CERTIFIED FINANCIAL PLANNER™

Years Registered*

6 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Office Location

3757 State Street Suite 3A
Santa Barbara, CA 93105

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Kovack Advisors, Inc Brokerage Details

Total Assets Under Management

$3,650,695,824

CA Average: $1,855,561,029
Total Number of Employees

330

CA Average: 62
Total Number of Accounts

14,593

CA Average: 2,474
Average Account Size

$250,168

CA Average: $750,025

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers

John Heroux Work History

John has been registered as a financial advisor for 6 years.*

2017 - Present (7 years)

Kovack Securities, Inc

2015 - Present (9 years)

Tkg Financial, LLC

1995 - Present (29 years)

United Airlines

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of John Heroux to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Kovack Advisors, Inc

Paul Seig
Fort Lauderdale, FL
Wayne Cassriel
Santa Barbara, CA
Allison Trahan
Fort Lauderdale, FL
Kirby Chien
Lake Oswego, OR
Kathleen Bilansky
Brookfield, WI
Lauren Smith
Fort Lauderdale, FL
Timothy Waller
Fort Lauderdale, FL

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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