{
  "crd_number": 7524,
  "slug": "first-kentucky-securities-corp-louisville-ky-7524",
  "primary_business_name": "FIRST KENTUCKY SECURITIES CORP",
  "legal_name": "FIRST KENTUCKY SECURITIES CORPORATION",
  "dbas": [
    "FIRST CREDIT ADVISORS"
  ],
  "city": "Louisville",
  "state": "KY",
  "country": "United States",
  "cbsa_code": "31140",
  "metro": {
    "cbsa_code": "31140",
    "common_name": "Louisville",
    "msa_name": "Louisville/Jefferson County, KY-IN",
    "path": "/advisors/ky/louisville"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2007-05-03",
  "years_registered": 19,
  "period": "2026-10-01",
  "filing_date": "2025-12-02",
  "carried_forward": false,
  "raum_total": 566003046.0,
  "raum_discretionary": 282287515.0,
  "raum_non_discretionary": 283715531.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 19,
  "advisory_employees": 16,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 2215493.0,
      "count": 4,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 185152529.0,
      "count": 1108
    },
    "state_municipal": {
      "raum": 5051851.0,
      "count": 1,
      "fewer_than_5": true
    },
    "pension_profit_sharing": {
      "raum": 3000146.0,
      "count": 2,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 369733199.0,
      "count": 413
    },
    "corporations_other_businesses": {
      "raum": 849828.0,
      "count": 2,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "security_ratings_pricing",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 7,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "IL",
    "IN",
    "KY",
    "LA",
    "MS",
    "NC",
    "NE",
    "OH",
    "SC",
    "TN",
    "TX",
    "VA"
  ],
  "websites": [
    "https://facebook.com/FIRSTKENTUCKYSECURITIESCORP",
    "https://firstky.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7524",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "LOUISVILLE",
  "url": "https://advisorcensus.com/firm/first-kentucky-securities-corp-louisville-ky-7524",
  "display_name": "First Kentucky Securities Corp",
  "summary": "First Kentucky Securities Corp is an SEC-registered investment advisory firm in Louisville, KY, registered since 2007, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated December 2, 2025.",
  "citation": "AdvisorCensus. First Kentucky Securities Corp (CRD 7524): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Security ratings or pricing services"
  ],
  "quick_answers": [
    {
      "q": "How is First Kentucky Securities Corp compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), First Kentucky Securities Corp reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees; other."
    },
    {
      "q": "Where is First Kentucky Securities Corp located?",
      "a": "First Kentucky Securities Corp's principal office is in Louisville, KY, according to its Form ADV; the January 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is First Kentucky Securities Corp registered with the SEC or a state?",
      "a": "First Kentucky Securities Corp is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 7524."
    },
    {
      "q": "How much does First Kentucky Securities Corp manage?",
      "a": "First Kentucky Securities Corp reports $566,003,046 in regulatory assets under management in its Form ADV filing dated December 2, 2025 (50% discretionary)."
    },
    {
      "q": "How have First Kentucky Securities Corp's assets and staff changed since 2021?",
      "a": "In the Form ADV data for First Kentucky Securities Corp: Regulatory assets under management: $565,862,068 in the October 2021 data and $566,003,046 in the October 2026 data, unchanged. Total employees: 30 in October 2021 and 19 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does First Kentucky Securities Corp serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,108); high net worth individuals (413); charitable organizations (4)."
    },
    {
      "q": "Which custodians does First Kentucky Securities Corp use?",
      "a": "First Kentucky Securities Corp's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists RBC Capital Markets, LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does First Kentucky Securities Corp report any disciplinary disclosures?",
      "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/7524"
    },
    {
      "q": "What changed in First Kentucky Securities Corp's recent Form ADV filings?",
      "a": "In the January 2026 filing data: Employees performing advisory functions went from 17 to 16. Regulatory assets under management went from $678,564,542 to $566,003,046 (-17%). Registered or notice-filed in VA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 565862068.0,
      "total_employees": 30,
      "filing_date": "2021-01-06"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 717175163.0,
      "total_employees": 33,
      "filing_date": "2021-12-07"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 641112265.0,
      "total_employees": 25,
      "filing_date": "2023-01-18"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 535292802.0,
      "total_employees": 24,
      "filing_date": "2024-07-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 678564542.0,
      "total_employees": 20,
      "filing_date": "2024-12-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 566003046.0,
      "total_employees": 19,
      "filing_date": "2025-12-02"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Employees performing advisory functions went from 17 to 16.",
        "Regulatory assets under management went from $678,564,542 to $566,003,046 (-17%).",
        "Registered or notice-filed in VA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "RBC Capital Markets, LLC",
      "name_as_filed": "RBC CAPITAL MARKETS, LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/first-kentucky-securities-corp-louisville-ky-7524.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1108,
      "fewer_than_5": false,
      "raum": 185152529.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 413,
      "fewer_than_5": false,
      "raum": 369733199.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 3000146.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 4,
      "fewer_than_5": true,
      "raum": 2215493.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 1,
      "fewer_than_5": true,
      "raum": 5051851.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 2,
      "fewer_than_5": true,
      "raum": 849828.0
    }
  ],
  "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7524",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}