Independence yields innovation.

TKG Financial LLC, headquartered in Santa Barbara, California, is an independent broker/dealer licensed to offer securities, investment advisory services and insurance products. TKG Financial is a member firm of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). TKG Financial specializes in creating customized support solutions that allow independent advisors to better serve their clients.

TKG Financial

Our Perspective

We believe that investors benefit when their advisors are not burdened with production quotas or incentivized to sell proprietary products, and that advisors shouldn’t have to sacrifice back office support or compliance oversight in order to gain that autonomy. Our advisor support solutions provide investment professionals the tools and freedom they need in order to develop innovative and unbiased financial solutions.

TKG Financial

Our Passion

Our approach, a result of first-hand experience and industry vision, not only defines us but differentiates us. Practicality tempers expectations, but our passion and knowledge yield absolute confidence. We are well aware of the hurdles investors face in today’s economic environment, and strive to overcome them by empowering their advisors.

TKG Financial

Our Priorities

We are dedicated to establishing and maintaining successful partnerships with our advisors and their clients as we help them succeed in today’s rapidly evolving financial marketplace. To accomplish this we offer independent advisors a platform that inspires an entrepreneurial approach to investing, and encourages open and ongoing communication.

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A strong partnership is the key to success in a highly competitive industry.

As an advisor, a solid support system and the proper platform are vital to the continued development of your business.

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A Proven Philosophy

Providing investment professionals with a progressive and truly objective avenue to advising their clients is crucial to producing superior results. We believe the best way to help clients is by helping their advisor.

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A Winning Team

The founding partners and executive team of TKG Financial are all veterans of the financial industry; specifically the retail space. It is their collective experience that influenced the business model for TKG Financial and helped inspire its advisor-friendly structure.

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A Wealth of Services

We pride ourselves on the services and products we offer. From our advisor support solutions, to the selection of innovative products available to their clients, our partners are uniquely equipped to tackle their investment objectives.

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An Invested Partner

TKG Financial is only as successful as the advisors and clients who trust us with their business. Aligned interests are the key to a mutually beneficial relationship.

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Aligning Interests

“TKG Financial was founded with the appreciation that success is encouraged by aligned interests. When you approach investing from the most appropriate perspective, you put yourself in the shoes of your investors. The simplicity of true independence provides a realistic path to that perspective.”

What Our Advisors Say*

male-avatarWayne Cassriel,
Private Wealth Manager
male-avatarAndrew B. Day,
Private Wealth Manager
male-avatarChristopher C. L. Hartman,
Private Wealth Investment Manager
Advisor testimonials are from registered representatives affiliated with TKG Financial and are specific to TKG Financial Broker/Dealer services.
Firm & Advisor background and qualification information available at FINRA’s BrokerCheck.