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Building 2FIRST KENTUCKY SECURITIES CORP

Map pinLOUISVILLE, KY
Phone502-893-7288
NotebookSEC #801-67742
Total AUM
$566M
Employees
19
Clients
1,530

Firm overview

UsersClient Breakdown by AUM

Circle dollar signAUM previous 5 years

Smooth Smooth / Detailed

HotelBusiness

Principal Address
4360 BROWNSBORO ROAD
SUITE 300
LOUISVILLE
KY 40207
United States
Operating Hours
9:00AM-5:00PM
Monday - Friday
Phone
502-893-7288
Other Offices
1

ReceiptFinancials

Total AUM
$566M
Accounts
1,530
Discretionary
$282.3M
Accounts
897
Non-Discretionary
$283.7M
Accounts
633

ContactClients

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Individual Clients
1,108
AUM
$185.2M
HNW Individual Clients
413
AUM
$369.7M
Pension/Profit Sharing Plan Clients
2
AUM
$3M
Charitable Organization Clients
4
AUM
$2.2M
Government Entity Clients
1
AUM
$5.1M
Corporation or Business Clients
2
AUM
$849.8K

Briefcase businessServices

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Services Offered
Advisor / Fund Manager SelectionFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementSecurities Ratings
Compensation Types
Charges Fixed FeeCharges Hourly FeeCharges Other FeeCharges Percentage AUMCharges Performance-Based
Other Compensation
COMMISSIONS FOR FIXED INCOME PRINCIPAL TRANSACTIONS

Shield checkCompliance

Disclosures
Other Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Rule Violation
State Registrations
AZCACOFLILINKYLAMSNCNEOHSCTNTXVA

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Affiliates
Reported 1 business affiliate.
Claimed Affiliates
Reported as an affiliate by 0 other businesses.

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