RK
Raymond S. Kramer
FIRST KENTUCKY SECURITIES
Lexington, KY 40511
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CRD#: 1053345
RK
Professional summary
Raymond Strand Kramer JR, who also goes by Raymond Strand Jr Kramer, Stan Kramer, is a registered financial advisor currently at FIRST KENTUCKY SECURITIES CORPORATION located in Lexington, Kentucky.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Raymond has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 50, Series 7, Series 54, Series 27, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raymond Strand Jr Kramer | Stan Kramer
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Presbyterian Housing Corp-President This is a non profit Corporation that owns and operates 132-units for low income housing and I do not spend any time during business hours on this. I spend roughly 5 hours a week to this business. As President I provide oversight to the Management Company. Notary Public Owns First Kentucky Securities Stock
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Strand Kramer JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond Strand Kramer JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2013 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 1500 Leestown Road Suite 330, Lexington, KY 40511RIA
BD
CRD#: 7524
Lexington, KY
Current
September 3, 1985 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 1500 Leestown Road Suite 330, Lexington, KY 40511RIA
BD
CRD#: 7524
Lexington, KY
Past
August 25, 2006 - December 31, 2012
FIRST KENTUCKY SECURITIES CORPORATION
RIA
CRD#: 7524
FRANKFORT, KY
Past
July 27, 1982 - August 5, 1985
DUPREE & COMPANY, INC.
BD
CRD#: 1697
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FIRST KENTUCKY SECURITIES CORPORATION
FIRST CREDIT ADVISORS | FIRST KENTUCKY SECURITIES CORPORATION | FIRST KENTUCKY SECURITIES CORP
CRD#: 7524 / SEC#: 801-67742, 8-22224
RIA
Registered Investment Advisory firm - SEC (5/3/2007 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/27/2019)
RR
Florida(3/22/2010)
RR
Kentucky(1/16/1996)
IAR
Kentucky(1/3/2013)
RR
Michigan(5/23/2024)
RR
New York(11/24/2024)
RR
North Carolina(11/27/2019)
RR
Ohio(11/27/2023)
RR
Texas(11/27/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FIRST KENTUCKY SECURITIES CORPORATION
FIRST CREDIT ADVISORS | FIRST KENTUCKY SECURITIES CORPORATION | FIRST KENTUCKY SECURITIES CORP
CRD#: 7524 / SEC#: 801-67742, 8-22224
RIA
Registered Investment Advisory firm - SEC (5/3/2007 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
4360 Brownsboro Road Suite 300, Louisville, KY 40207
Mailing Address
4360 Brownsboro Road Suite 300, Louisville, KY 40207
Phone number
(502) 893-7288
Established
Kentucky since 09/30/1977
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
20
SEC notice filing (15 States and Territories)
FINRA licenses (47 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRAMER, RAYMOND STRAND JR | BRANCH MANAGER/ MUNI PRINCIPAL/ BOARD MEMBER | 1053345 |
| OCONNOR, KEVIN PATRICK | SENIOR VICE PRESIDENT/BOARD MEMBER | 1250514 |
| CURRENT, TYLER DARRELL | VICE PRESIDENT/BOARD MEMBER | 5363467 |
| OCONNOR, RYAN PATRICK | CFO/ CEO/ BRANCH MANAGER/ BOARD MEMBER | 5337922 |
| HARRISON, CHRISTINA JONES | VICE PRESIDENT/ SHAREHOLDER | 1171516 |
| HOWELL, JUDY ELIZABETH | SHAREHOLDER | 1634346 |
| JENNINGS, MARY JANE | VICE PRESIDENT/ SECRETARY/ SHAREHOLDER | 1850902 |
| KRAMER, FREDERICK JENNINGS | REGISTERED REPRESENTATIVE | 2299599 |
| NICHOLSON, ANN MARIE | CCO | 2449342 |
Regulatory assets under management
| Total Number of Accounts | 1,757 |
| AUM (Assets Under Management) | $ 678,564,542 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIRST KENTUCKY SECURITIES CORPORATION
CRD#: 7524Lexington, KY 40511TRUST BUT VERIFY
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