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Barbara Jean Ralston

38 Years of Experience
10 DisclosuresBroker
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningHigh Net Worth
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

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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
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.
Barbara Jean Ralston - Financial Advisor | TrueAdvisor