Kovack Advisors, Inc. — Q3 2013 13F Holdings

Name: Kovack Advisors, Inc. — 13F Holdings, Q3 2013
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001728321

Total reported value

$1.9B

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	DIA	Ss Spdr Dow Jones Indus Avg	ETF-Large Cap & Growth	11.40%	—	-15.74%
2	AAPL	Apple INC	Stock-Tech	9.66%	-0.41%	+12.83%
3	SLV	Ishares Silver Trust	ETF-Commodities	4.44%	-1.18%	—
4	IWC	Ishares Micro-cap ETF	ETF-Other	4.20%	—	—
5	ITOT	Ishares Core S&p Total U.s.	ETF-Other	4.18%	—	—
6	PG	Procter & Gamble Co/the	Stock-Consumer Staples	4.06%	—	-2.67%
7	✓	Proshares	Stock-Other	2.81%	—	—
8	WMB	Williams Cos INC	Stock-Energy	2.78%	—	+2.97%
9	✓	Powershares ETF Tr Ii	ETF-Other	2.76%	—	+2.11%
10	T	At&t INC	Stock-Comm Services	2.70%	—	-5.61%
11	F	Ford Motor Co	Stock-Consumer Disc	2.26%	—	-3.76%
12	ETN	Eaton Corporation plc	Stock-Industrials	2.25%	—	+0.28%
13	INTC	Intel CORP	Stock-Tech	2.13%	-0.19%	-4.80%
14	IVV	Ishares Core S&p 500 ETF	ETF-Large Cap & Growth	2.13%	+0.13%	+14.07%
15	FLOT	Ishares Floating Rate Bond E	ETF-Other	1.99%	—	—
16	XOM	Exxon Mobil CORP	Stock-Energy	1.88%	+0.22%	+0.24%
17	SDY	Ss Spdr S&p Dividend ETF	ETF-Other	1.83%	—	+0.71%
18	AEP	American Electric Power Company, Inc.	Stock-Utilities	1.77%	—	+0.08%
19	XLU	St Sr Utl Sl Se Spdr Etf-usd	ETF-Other	1.69%	—	+0.86%
20	OXY	Occidental Petroleum CORP	Stock-Energy	1.66%	—	+3.14%
21	BMY	Bristol-myers Squibb Co	Stock-Healthcare	1.50%	—	—
22	META	Meta Platforms Inc-class A	Stock-Comm Services	1.40%	-0.70%	—
23	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	1.38%	—	—
24	✓	Rydex ETF Trust	ETF-Other	1.34%	—	—
25	SHY	Ishares 1-3 Year Treasury Bo	ETF-Gov Bonds	1.30%	—	-15.42%
26	MRK	Merck & Co. INC.	Stock-Healthcare	1.23%	—	-18.96%
27	GOOG	Alphabet A	Stock-Comm Services	1.23%	—	—
28	MO	Altria Group INC	Stock-Consumer Staples	1.21%	—	+0.19%
29	IBM	Intl Business Machines CORP	Stock-Tech	1.19%	—	+5.20%
30	RDS-A	Shell Plc-spon Adr-a	Stock-Other	1.17%	—	+1.55%
31	XLF	Ss Financial Select Sector	ETF-Other	1.16%	—	—
32	TBF	Proshares Short 20+ Treasury	ETF-Gov Bonds	1.15%	—	—
33	VZ	Verizon Communications INC	Stock-Comm Services	1.11%	—	-1.92%
34	✓	Lorillard INC	Stock-Other	1.09%	—	—
35	✓	Rydex ETF Trust	ETF-Other	1.09%	—	—
36	KMI	Kinder Morgan INC	Stock-Energy	1.08%	—	-3.33%
37	✓	Rydex ETF Trust	ETF-Other	1.08%	—	—
38	✓	Guggenheim S&p 500 Pure Growth	Stock-Other	1.07%	—	—
39	JNJ	Johnson & Johnson	Stock-Healthcare	1.07%	—	—
40	✓	Rydex ETF Trust	ETF-Other	1.05%	—	—
41	✓	Powershares Qqq Trust Ser 1	Stock-Other	1.05%	—	—
42	BAC	Bank Of America CORP	Stock-Financials	1.04%	—	+5.42%
43	✓	Brocade Communications Sys I	Stock-Other	0.88%	—	—
44	CII	Blackrock Enhan Lrg Cap Core	Stock-Other	0.76%	—	+7.53%
45	NLYEUR	Annaly Capital Management In	Stock-Other	0.74%	—	-1.42%
46	✓	Franklin Bsp Lending C Com	Stock-Other	0.65%	—	—
47	✓	Rf Microdevices INC	Stock-Other	0.63%	—	—
48	VVR	Invesco Senior Income Trust	Stock-Other	0.46%	—	—
49	✓	Ing	Stock-Other	0.31%	—	—
50	AT	Atlantic Power CORP	Stock-Other	0.29%	—	-17.43%

1–50 of 56

Holding changes this quarter

Position changes disclosed by Kovack Advisors, Inc. for the quarter ending Q3 2013, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	AAPL	Apple INC	+1.2%	+12.83%	Add
2	IVV	Ishares Core S&p 500 ETF	+0.1%	+14.07%	Add
3	WMB	Williams Cos INC	0%	+2.97%	Add
4	BAC	Bank Of America CORP	0%	+5.42%	Add
5	OXY	Occidental Petroleum CORP	-0.1%	+3.14%	Add
6	VZ	Verizon Communications INC	-0.3%	-1.92%	Trim
7	SHY	Ishares 1-3 Year Treasury Bo	-0.5%	-15.42%	Trim
8	MRK	Merck & Co. INC.	-0.5%	-18.96%	Trim
9	INTC	Intel CORP	-0.7%	-4.80%	Trim
10	T	At&t INC	-0.7%	-5.61%	Trim
11	PG	Procter & Gamble Co/the	-0.8%	-2.67%	Trim
12	DIA	Ss Spdr Dow Jones Indus Avg	-3.9%	-15.74%	Trim
13	SLV	Ishares Silver Trust	—	NEW	New buy
14	IWC	Ishares Micro-cap ETF	—	NEW	New buy
15	ITOT	Ishares Core S&p Total U.s.	—	NEW	New buy
16	✓	Proshares	—	NEW	New buy
17	TIP	Ishares Tips Bond ETF	—	EXIT	Sold out
18	AGG	Ishares Core U.s. Aggregate	—	EXIT	Sold out
19	DVY	Ishares Select Dividend ETF	—	EXIT	Sold out
20	AEP	American Electric Power	—	EXIT	Sold out
21	FLOT	Ishares Floating Rate Bond E	—	NEW	New buy
22	AOM	Ishares Core 40/60 Moderate	—	EXIT	Sold out
23	IJH	Ishares Core S&p Midcap ETF	—	EXIT	Sold out
24	BMY	Bristol-myers Squibb Co	—	NEW	New buy
25	EXC	Exelon CORP	—	EXIT	Sold out
26	META	Meta Platforms Inc-class A	—	NEW	New buy
27	IVE	Ishares S&p 500 Value ETF	—	EXIT	Sold out
28	IJJ	Ishares S&p Mid-cap 400 Valu	—	EXIT	Sold out
29	IWD	Ishares Russell 1000 Value E	—	EXIT	Sold out
30	✓	Rydex ETF Trust	—	NEW	New buy
31	IJK	Ishares S&p Mid-cap 400 Grow	—	EXIT	Sold out
32	GOOG	Alphabet A	—	NEW	New buy
33	XHB	Ss Spdr S&p Homebldrs ETF	—	EXIT	Sold out
34	XLF	Ss Financial Select Sector	—	NEW	New buy
35	TBF	Proshares Short 20+ Treasury	—	NEW	New buy
36	✓	Rydex ETF Trust	—	NEW	New buy
37	✓	Lorillard INC	—	NEW	New buy
38	✓	Rydex ETF Trust	—	NEW	New buy
39	✓	Guggenheim S&p 500 Pure Growth	—	NEW	New buy
40	JNJ	Johnson & Johnson	—	NEW	New buy
41	MSFT	Microsoft CORP	—	EXIT	Sold out
42	✓	Rydex ETF Trust	—	NEW	New buy
43	✓	Powershares Qqq Trust Ser 1	—	NEW	New buy
44	✓	Carter Validus Mission Critical REIT, Inc.	—	EXIT	Sold out
45	✓	Brocade Communications Sys I	—	NEW	New buy
46	✓	Franklin Bsp Lending C Com	—	NEW	New buy
47	✓	Rf Microdevices INC	—	NEW	New buy
48	✓	Armour Residential	—	NEW	New buy
49	AMKR	Amkor Technology INC	—	EXIT	Sold out
50	UEC	Uranium Energy CORP	—	NEW	New buy