WB
William J. Barker
FIRST KENTUCKY SECURITIES
Louisville, KY 40207
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CRD#: 1137398
WB
Professional summary
William James Barker is a registered financial professional currently at FIRST KENTUCKY SECURITIES CORPORATION located in Louisville, Kentucky.
William is registered as a RR (Registered Representative) and started their career in finance in 1983. William has worked at 6 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William James Barker'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
March 27, 2020 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207RIA
BD
CRD#: 7524
Louisville, KY
Past
April 18, 2006 - March 26, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
LOUSIVILLE, KY
Past
March 28, 2005 - April 19, 2006
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
January 24, 1997 - March 31, 2005
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
December 3, 1987 - January 31, 1997
JOHNSTON, BROWN, BURNETT & KNIGHT, INC.
BD
CRD#: 2364
Past
June 22, 1983 - September 1, 1987
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.
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
Georgia(11/29/2023)
RR
Indiana(3/27/2020)
RR
Kansas(11/27/2023)
RR
Kentucky(3/27/2020)
RR
Nevada(7/15/2020)
RR
New Jersey(3/27/2020)
RR
Ohio(3/27/2020)
RR
Tennessee(11/29/2023)
RR
Texas(11/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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Company Information
FIRST KENTUCKY SECURITIES CORPORATION
CRD#: 7524Louisville, KY 40207TRUST BUT VERIFY
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