FIRST KENTUCKY SECURITIES CORP

Broker-DealerFINRA MemberEst. 2007

Total AUM

$566M

Discretionary

$282M

50% of AUM

Accounts

1,530

Employees

Advisory reps

Brokerage reps

Firm details

Headquarters: LOUISVILLE, Kentucky
CRD number: 7524
Registered since: May 3, 2007
Website: firstky.com
Custodians: RBC CAPITAL MARKETS, LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Performance Based Fees, Other
Client types: HNWI65.32%
Individuals32.71%
State / Municipal Government0.89%
Pension & Profit Sharing Plans0.53%
Charitable Organizations0.39%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersSecurity Ratings / Pricing Services

Firm profile

FINTRX

Overview

First Kentucky Securities Corp is an independent broker-dealer and registered municipal advisor that also functions as a capital allocator for individual, family and institutional clients. The firm is organized as a corporation, is owner-operated, and has been SEC-registered since 2007. Its business mix includes brokerage, insurance brokerage and municipal advisory services, while its advisory offerings cover financial planning, portfolio management for individuals and small businesses as well as for institutions, selection of other advisers and security pricing/rating services. The firm charges a variety of fee types—percentage of AUM, hourly and fixed fees, plus performance-based arrangements—and it does not present itself as an active ESG investor or a multi-state adviser.