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Current Employers
First Kentucky Securities Corporation

4360 Brownsboro Road Suite 300, Louisville, KY 40207 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2013-01-03
  • KY RA
    APPROVED
    Since 2013-01-03

Branch Locations

4360 Brownsboro Road Suite 300, Louisville, KY 40207 • United States

Louisville, KY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Kentucky Securities Corp. Louisville KY 09/2005 Present
  • 09/2005 → Present
    First Kentucky Securities Corp.
    Louisville, KY
Previous Registrations
  • 2001-04-06 → 2005-08-23
    Morgan Stanley Dw Inc.
    Louisville, KY
Other Businesses

Board member of the Morton Center- Non profit Co-Trustee Betty Gibbs Trust- Deceased mother

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-18
S63 Uniform Securities Agent State Law Examination 1995-05-22
  • S65 Uniform Investment Adviser Law Examination
    1996-01-18
  • S63 Uniform Securities Agent State Law Examination
    1995-05-22

View on SEC IAPD

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