Kevin P. Oconnor

FIRST KENTUCKY SECURITIES

Louisville, KY 40207

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CRD#: 1250514

Professional summary

Kevin Patrick Oconnor is a registered financial advisor currently at FIRST KENTUCKY SECURITIES CORPORATION located in Louisville, Kentucky.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Owns First Kentucky Securities Stock

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Oconnor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Oconnor's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 19, 2014 - Present

FIRST KENTUCKY SECURITIES CORPORATION

Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207

RIA

CRD#: 7524

Louisville, KY

Current

May 23, 2014 - Present

FIRST KENTUCKY SECURITIES CORPORATION

Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207

RIA

CRD#: 7524

Louisville, KY

Past

September 2, 2005 - June 2, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOUISVILLE, KY

Past

September 2, 2005 - June 2, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LOUISVILLE, KY

Past

December 10, 2002 - September 8, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LOUISVILLE, KY

Past

February 3, 1987 - September 8, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 18, 1984 - February 6, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(10/3/2017)

Alaska
(7/14/2015)

Arkansas
(4/5/2018)

California
(5/23/2014)

District of Columbia
(11/17/2023)

Florida
(5/23/2014)

Georgia
(7/8/2015)

Illinois
(7/8/2015)

Indiana
(5/23/2014)

Kentucky
(5/23/2014)

IAR

Kentucky
(11/19/2014)

Michigan
(9/2/2016)

Minnesota
(4/4/2016)

Missouri
(7/8/2015)

Nevada
(11/19/2021)

New Jersey
(7/8/2015)

New Mexico
(2/22/2016)

New York
(7/8/2015)

North Carolina
(7/8/2015)

North Dakota
(9/19/2025)

Ohio
(5/23/2014)

Tennessee
(8/26/2015)

Texas
(7/8/2015)

Virginia
(7/8/2015)

Washington
(8/29/2023)

West Virginia
(7/29/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/29/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

SRO Registrations

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)

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

SEC notice filing (15 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1: WRAP FEE PROGRAM BROCHURE (12/18/2024)

FORM ADV PART 2A: FIRM BROCHURE (12/18/2024)

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.

Contact information

xxxxx@xxxx.xxx

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Kevin P. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Oconnor's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Oconnor's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST KENTUCKY SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FIRST KENTUCKY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2004

Series 63

Date: 5/3/1984

SIE

Date: 10/1/2018

Series 3

Date: 1/29/1992

Series 7

Date: 4/14/1984

FINRA

Current Firm

FIRST KENTUCKY SECURITIES CORPORATION

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST KENTUCKY SECURITIES CORPORATION

TRUST BUT VERIFY

Contact information

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