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100 Mallard Creek Rd Suite 402, Louisville, KY 40207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-26 |
| KY | RA | APPROVED | 2023-01-23 |
Branch Locations
100 Mallard Creek Rd Suite 402, Louisville, KY 40207 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Kentucky Securities Corp. | Louisville | KY | 08/2005 | 08/2019 |
| First Kentucky Securities Corporation | Louisville | KY | 08/2019 | 01/2023 |
| Legacy Financial Independent Advisors Llc | Louisville | KY | 01/2023 | 09/2025 |
| Legacy Financial Independent Advisors Llc | Louisville | KY | 09/2025 | Present |
(1) St Meinrad 200 Hill Drive Saint Meinrad, IN 47577 Advisory Committee Not investment related Time approx. 1 hour a month No compensation (2) Horse Ownership Non Investment Related No Compensation 2 hours a month Start Date: 01/2025
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1979-11-29 |
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