SEC-registered wealth management firm Broker-dealer affiliated
First Kentucky Securities Corp
As of its Form ADV filed December 2, 2025, First Kentucky Securities Corp, an SEC-registered, broker-dealer affiliated wealth management firm in Louisville, Kentucky, reported $566.0 million in regulatory assets under management across 1,530 accounts, ranking #22 among all wealth firms in Kentucky by assets.
Registration
- Main office
- Louisville, KY
- Registration
- SEC-registered, Approved
- CRD number
- 7524
- SEC file number
- 801-67742
- Registered since
- May 3, 2007
- Latest Form ADV filing
- December 2, 2025
- Legal name
- FIRST KENTUCKY SECURITIES CORPORATION
- Organized as
- Corporation
- Fiscal year ends
- September
- Other offices
- 1
Key figures
- Regulatory assets under management
- $566.0 million
- Discretionary
- $282.3 million (49.9%)
- Non-discretionary
- $283.7 million
- Accounts
- 1,530 (897 discretionary)
- Clients
- 1,531, approximate as reported
- Employees
- 19
- Advisory staff
- 16 performing investment advisory functions
- Average account
- $369,937
- Asset growth, 1 year
- -16.6% (from $678.6 million a year earlier)
- Asset growth, 3-year annual rate
- -4.1% (from $641.1 million three years earlier)
- Asset growth, 5-year annual rate
- 0.0% (from $565.9 million five years earlier)
- Client growth, 1 year
- -12.6% (from 1,751)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $125.5 million |
| October 3, 2011 | $129.3 million |
| October 1, 2012 | $129.1 million |
| October 1, 2013 | $155.5 million |
| October 1, 2014 | $165.3 million |
| October 1, 2015 | $212.0 million |
| October 3, 2016 | $205.0 million |
| October 2, 2017 | $189.3 million |
| October 1, 2018 | $227.5 million |
| October 1, 2019 | $339.5 million |
| October 1, 2020 | $412.8 million |
| October 4, 2021 | $565.9 million |
| October 3, 2022 | $717.2 million |
| October 5, 2023 | $641.1 million |
| October 1, 2024 | $535.3 million |
| September 2, 2025 | $678.6 million |
| October 2, 2026 | $566.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 413 clients | $369.7 million | |
| Individuals (other than high net worth) 1,108 clients | $185.2 million | |
| State or municipal government entities fewer than 5 clients | $5.1 million | |
| Pension and profit sharing plans fewer than 5 clients | $3.0 million | |
| Charitable organizations fewer than 5 clients | $2.2 million | |
| Corporations or other businesses fewer than 5 clients | $849,828 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
- Security ratings or pricing services
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
- Registered municipal advisor
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 15
- Also registered through a broker-dealer
- 15
- Employees who are IARs (Form ADV 5.B(3))
- 19
Designations held by the firm's IARs: CFP 4.
15 of the firm's 15 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 7 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Kentucky
| Firm | City | RAUM |
|---|---|---|
| Atlas Brown | Louisville | $605.2 million |
| Reliant Wealth Planning, LLC | Louisville | $595.2 million |
| Alexander Investment Services Co. | Louisville | $576.8 million |
| Van Leeuwen Retirement & Investment Services | Richmond | $559.4 million |
| Churchill Financial Advisors, LLC | Louisville | $522.9 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- First Kentucky Securities Corp on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: firstky.com
- Wealth management firms in Kentucky
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.