First Kentucky Securities Corp
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$554,885,728
Clients
1,521
Advisors
15
across 2 offices
About
First Kentucky Securities Corporation provides investment advisory and related services to a range of clients including individual (both non‑HNW and high‑net‑worth) investors, pension and profit‑sharing plans, charitable organizations, corporations, insurance companies, and state or municipal government entities. Its offerings include wrap and non‑wrap portfolio management, financial planning and consulting, municipal advisory services, broker‑dealer execution, and securities‑specific research and ratings through its First Credit Advisors unit.
FKSC develops individualized investment policies via client interviews to establish objectives, time horizons, risk tolerance and liquidity needs, then implements those policies through a mix of discretionary and non‑discretionary accounts and third‑party manager programs (including RBC‑sponsored UMA/Consulting Solutions and the firm’s UMAS wrap program). As of September 30, 2025 the firm reported roughly equal discretionary and non‑discretionary assets and discloses it may enter performance‑based fee arrangements for qualified clients, practices that are less common among multi‑team firms.
Distinctive features include its dual registration as both an investment adviser and a broker‑dealer, registration as a municipal advisor, and state insurance agency licensure, which support municipal underwriting/placement, insurance product sales, and in‑house execution capabilities. The firm’s First Credit Advisors produces institutional equity research (focused on technology, media, telecommunications and consumer sectors), and FKSC publishes municipal bond inventory and a new‑issue bond calendar on its website while clearing advisory trades through RBC Correspondent Services—an operational mix that is uncommon among peers.
Client services
Expertise
Occupation focus
Fee options
Fixed fees typically range from $500 to $5,000 for Financial Planning and Consulting Services
$0 - $1,000,000: up to 1.00% annually $1,000,000+: capped maximum fee (exact cap not specified)
$100 to $500 per hour for Financial Planning and Consulting Services
Performance-based fees possible for qualified clients, based on net investment gains above a hurdle rate with a high-water mark; specifics disclosed in client agreements.
Fee-only: Financial Planning fees: hourly $100 to $500 per hour; fixed fees $500 to $5,000; Consulting fees: hourly $100 to $500 per hour; fixed fees $500 to $5,000; Securities Rating Services fees $180 to $150,000 annually (negotiated)
Main office
See office4360 Brownsboro Road, Suite 300
Louisville KY 40207
Advisors at this office
9
Offices (2)
Most active in
Arizona · California · Colorado · Florida · Illinois · Indiana · Kentucky · Louisiana · Mississippi · Nebraska · North Carolina · Ohio · South Carolina · Tennessee · Texas · Virginia
Also doing business as
First Credit Advisors · First Kentucky Securities Corp · First Kentucky Securities Corporation
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Quick links
Advisors at this firm
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