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Kevin Patrick Oconnor

First Kentucky Securities Corporation

Louisville, KY

CRD 1250514

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Employer firm

First Kentucky Securities Corporation CRD 7524

$566M regulatory AUM 1 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Security ratings or pricing

From the firm’s Form ADV. Read the guides:

Current Employers
First Kentucky Securities Corporation

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2014-11-19
  • KY RA
    APPROVED
    Since 2014-11-19

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Kentucky Securities Corp Frankfort KY 05/2014 Present
  • 05/2014 → Present
    First Kentucky Securities Corp
    Frankfort, KY
Previous Registrations
  • 2005-09-02 → 2014-06-02
    Ubs Financial Services Inc.
    Louisville, KY
    Louisville, KY
    Louisville, KY
  • 2002-12-10 → 2005-09-08
    Morgan Stanley Dw Inc.
    Louisville, KY
Other Businesses

Owns First Kentucky Securities Stock

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-01-28
S63 Uniform Securities Agent State Law Examination 1984-05-03
  • S65 Uniform Investment Adviser Law Examination
    2004-01-28
  • S63 Uniform Securities Agent State Law Examination
    1984-05-03

View on SEC IAPD

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Nearby Investors

REBECCA ANN LOVAN
Donald R Dentinger
MAYNARD EDWIN HOPPER

Nearby Offices

RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
MORGAN STANLEY · Louisville, KY
WAYCROSS GP, LLC · LOUISVILLE, KY

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