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Barbara Ralston

Kovack Advisors, INC.
38 Years of Experience
Santa Barbara, CA
10 DisclosuresBroker
View SEC Summary
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Barbara Ralston is a registered investment advisor at Kovack Advisors, INC., based in Santa Barbara, CA, with 38 years of industry experience. Barbara is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
258 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

350 S. Hope Avenue, Suite A-200, Santa Barbara, CA, 93105

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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
Settled
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 ReportHow 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 11 mos
Kovack Securities INC.Broker
November 2016 - Present · 9 yrs 11 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

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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