Barbara Jean Ralston

Kovack Advisors, INC.

38 Years of Experience

10 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement PlanningHigh Net Worth

Kovack Advisors, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

268 advisors

Number of Clients

14,305 clients

Average Client Portfolio

$387K average

Assets Under Management

$5.5B

Fee Structure

Location

6451 N. Federal Hwy, Suite 1201, Ft. Lauderdale, FL, 33308

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History

Regulatory History (10)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Judgment / Lien

August 2022

Customer Dispute

January 2022

Settled

Judgment / Lien

June 2021

Customer Dispute

October 2018

Pending

Customer Dispute

June 2003

Settled

Customer Dispute

May 2003

Settled

Customer Dispute

April 2003

Settled

Customer Dispute

November 2002

Settled

Customer Dispute

June 2002

Settled

Customer Dispute

July 1999

Settled

View Full SEC Report How to Read Disclosures

Other Business Activities

Barbara is a Senior Sales Assistant at TKG Financial, LLC, spending all of her time there. She also serves as President of the Santa Barbara 500 Club, dedicates minimal time as a partner selling custom pet IDs and ornaments, and spends minimal time as a sales representative for Color Street Nails.

Employment History

Current Registrations

Kovack Advisors, INC.

November 2016 - Present · 9 yrs 3 mos

Kovack Securities INC.Broker

November 2016 - Present · 9 yrs 3 mos

Previous Registrations

Tkg Financial, LLC

June 2005 - July 2017 · 12 yrs 1 mo

Tkg Financial, LLCBroker

April 2005 - July 2017 · 12 yrs 3 mos

First Wall Street CORP.Broker

September 1996 - April 2005 · 8 yrs 7 mos

Painewebber IncorporatedBroker

February 1996 - September 1996 · 7 mos

Painewebber IncorporatedBroker

February 1996 - September 1996 · 7 mos

Prudential Securities IncorporatedBroker

July 1987 - November 1995 · 8 yrs 4 mos

State Registrations2 states

CAFL

AdvisorBrokerBoth

Exams

No exam information available for this advisor.