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Ronald John Folk

CRD# 1252053·Registered 1985 - 2021
Previously Registered: Being a previously registered professional could mean that Ronald is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Ronald John Folk was a registered financial advisor. Ronald was a previously registered financial professional and started their career in finance 1985 - 2021. Ronald had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

KOVACK SECURITIES INC.·CRD# 44848
BD
Long Beach, NY
November 19, 2003 - November 12, 2021
THE CONCORD EQUITY GROUP, LLC·CRD# 14569
BD
Iselin, NJ
August 19, 1998 - November 19, 2003
SHARPE CAPITAL, INC.·CRD# 18452
BD
New York, NY
May 1, 1997 - June 22, 1998
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.·CRD# 18032
BD
New York, NY
March 16, 1995 - April 30, 1997
FIRST MONTAUK SECURITIES CORP.·CRD# 13755
BD
Red Bank, NJ
February 17, 1995 - March 14, 1995
MERIDIAN, DUNHILL & CO., INC.·CRD# 15294
BD
October 3, 1994 - February 23, 1995
DUNHILL EQUITIES, INC.·CRD# 21822
BD
Garden City, NY
April 4, 1994 - October 3, 1994
GOLDIS FINANCIAL GROUP, INC.·CRD# 16444
BD
Garden City, NY
February 12, 1991 - December 8, 1993
J. GREGORY & COMPANY, INC.·CRD# 14892
BD
September 25, 1990 - March 14, 1991
A.J. MICHAELS & CO., LTD.·CRD# 19883
BD
Hauppauge, NY
June 26, 1990 - September 26, 1990
M. D. HUDSON & CO., INC.·CRD# 17675
BD
June 14, 1990 - July 3, 1990
PRENTICE SECURITIES, INCORPORATED·CRD# 22897
BD
Hallandale, FL
May 21, 1990 - June 12, 1990
KIRLIN SECURITIES INC.·CRD# 21210
BD
Syosset, NY
October 30, 1989 - August 9, 1990
USLIFE EQUITY SALES CORP.·CRD# 7962
BD
New York, NY
September 22, 1989 - November 16, 1989
EMANUEL AND COMPANY·CRD# 7309
BD
New York, NY
October 3, 1988 - September 28, 1989
AUSTIN SECURITIES, INC.·CRD# 17094
BD
November 6, 1986 - October 25, 1988
MCKINNEY FOLK INC.·CRD# 14938
BD
June 28, 1985 - July 29, 1985
RICHARDSON GREENSHIELDS SECURITIES INC.·CRD# 3178
BD
June 28, 1985 - September 2, 1986

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Current Firm

KS
KOVACK SECURITIES INC.

KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: 8-50847
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

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

Mailing Address

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

Phone Number

(954) 782-4771

Established

Florida since 04/22/1997

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER—
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event

5

Arbitration

5

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1985About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1984About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1986About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Apr 1985About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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