AdFi
SG

Shuang Guo

Investment Adviser Representative at KOVACK ADVISORS, INC.

Myrtle Beach, SCCRD #6728775Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
7 yrs
States Registered
6 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 6 states
FloridaNew JerseyNew YorkPennsylvaniaSouth CarolinaVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/7/2023
Series 63
Uniform Securities Agent State Law Examination
Passed 12/30/2016
Series 7
General Securities Representative Examination
Passed 12/10/2022
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 7/22/2022
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 12/15/2016

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.029
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Kovack Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KOVACK ADVISORS, INC.Current
3/26/2026Myrtle Beach, SC
LPL ENTERPRISE, LLC
11/14/202412/19/2025New York, NY
PRUDENTIAL FINANCIAL PLANNING SERVICES
9/27/202311/14/2024New York, NY

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Shuang Guo has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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