TKG Financial LLC

The firm provides discretionary and non-discretionary asset management primarily to individual and high‑net‑worth clients, offering portfolio construction, monitoring, and trade execution across common and preferred stocks, bonds, mutual funds, and ETFs. It documents client goals, time horizons, and risk tolerance to establish investment programs and does not sponsor wrap‑fee programs.

Investment strategies are tailored to each client’s stated objectives and may incorporate technical analysis, periodic rebalancing, and tax‑loss harvesting opportunities, with account reviews performed quarterly or more frequently as market conditions dictate. The firm commonly seeks written authorization for discretionary trading where permitted, allows clients to impose investment restrictions in writing, and provides custodial account statements and fee invoices concurrent with billing.

Compared with many peers, the firm is small in scale—managing about $15.5 million for roughly two dozen clients—and its brochure discloses a material disciplinary history: a supervised person entered into a FINRA Acceptance, Waiver and Consent related to use of an unapproved messaging application and statements guaranteeing against loss, resulting in a suspension and fine. The brochure also notes an insurance license held by management (with a stated intention not to actively sell insurance) and discloses potential external compensation from insurance product sales as a conflict of interest.