FIRST KENTUCKY SECURITIES CORP
FIRST KENTUCKY SECURITIES CORPORATION Legal Name
Adviser information for FIRST KENTUCKY SECURITIES CORP last updated from Form ADV on December 6th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Kentucky, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 24 |
| Registered State Investment Advisers | 20 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 978 | $261.7M |
| Non-Discretionary | 712 | $273.5M |
| Total | 1,690 | $535.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 967 | $117.0M |
| HNW Individuals | 704 | $391.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 9 | $7.6M |
| Charitable organizations | <5 | $2.6M |
| State or municipal gov entities | <5 | $16.2M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $675,311 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Security ratings or pricing services |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agentRegistered municipal advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 356.5M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FKSC WRAP FEE PROGRAM | FIRST KENTUCKY SECURITIES CORP |
Identifiers
| SEC RIA File Number | 801-67742 |
|---|---|
| SEC ERA File Number | 801-67742 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 7524 |
| Legal Entity Identifier | None |
Principal Office
4360 BROWNSBORO ROADSUITE 300
LOUISVILLE
KY
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 502-893-7288, Fax: 502-893-1626
Chief Compliance Officer
ANN NICHOLSON
4360 BROWNSBORO ROAD
SUITE 300
LOUISVILLE
KY
United States
Tel:
502-893-7288
Fax:
502-893-1626
A*********@**********M
(Full email address available in API data)
Regulatory Contact
RYAN O'CONNOR
CEO
4360 BROWNSBORO ROAD
SUITE 300
LOUISVILLE
KY
United States
Tel:
502-893-7288
Fax:
502-893-1626
R***@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KRAMER, RAYMOND STRAND JR | Individual | – | BRANCH MANAGER/ MUNI PRINCIPAL/ BOARD MEMBER | 10/2016 | 10-25% |
| KRAMER, FREDERICK JENNINGS | Individual | – | REGISTERED REPRESENTATIVE | 01/2016 | < 5% |
| HARRISON, CHRISTINA JONES | Individual | – | VICE PRESIDENT/ SHAREHOLDER | 05/2001 | < 5% |
| FENWICK, WILLIAM CRANSTON JR | Individual | – | SENIOR VP & BOARD MEMBER | 09/2007 | 10-25% |
| OCONNOR, KEVIN PATRICK | Individual | – | SENIOR VICE PRESIDENT/BOARD MEMBER | 07/2014 | 10-25% |
| NICHOLSON, ANN MARIE | Individual | – | CCO | 10/2015 | < 5% |
| OCONNOR, RYAN PATRICK | Individual | – | CFO/ CEO/ BRANCH MANAGER/ BOARD MEMBER | 08/2019 | 5-10% |
| CURRENT, TYLER DARRELL | Individual | – | VICE PRESIDENT/BOARD MEMBER | 11/2015 | 5-10% |
| HOWELL, JUDY ELIZABETH | Individual | – | PRIVATE WEALTH ADVISOR/ SHAREHOLDER | 01/2001 | < 5% |
| JENNINGS, MARY JANE | Individual | – | VICE PRESIDENT/ SECRETARY/ SHAREHOLDER | 11/2015 | < 5% |