Terence J. Conway

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CRD#: 1334290

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Terence Joseph Conway, who also goes by Terry Conway, was a registered financial professional .

Terence is a previously registered financial professional and started their career in finance in 1985. Terence had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Terry Conway

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 9, 2013 - November 23, 2015

FIRST KENTUCKY SECURITIES CORPORATION

CRD#: 7524

LOUISVILLE, KY

Past

May 7, 2012 - August 23, 2012

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

CHICAGO, IL

Past

September 17, 2009 - August 8, 2011

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140

PEORIA, IL

Past

March 29, 2007 - April 21, 2008

WADDELL & REED

RIA

CRD#: 866

WESTMONT, IL

Past

March 28, 2007 - April 21, 2008

WADDELL & REED

CRD#: 866

WESTMONT, IL

Past

September 8, 2005 - January 30, 2007

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

CHICAGO, IL

Past

May 22, 2003 - November 4, 2003

BANC ONE INVESTMENT ADVISORS CORP

RIA

CRD#: 107247

COLUMBUS, OH

Past

November 17, 1998 - February 21, 2003

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

October 6, 1993 - November 1, 1993

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

November 20, 1985 - February 13, 1992

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/17/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

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.

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Terence J. Conway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

R.W. SMITH & ASSOCIATES, LLC

COMMERCE BROKERAGE SERVICES, INC.

WADDELL & REED

WADDELL & REED

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BANC ONE INVESTMENT ADVISORS CORP

BANC ONE CAPITAL MARKETS, INC.

KEMPER FINANCIAL SERVICES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

FIRST KENTUCKY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/17/2003

Series 63

Date: 11/26/1985

SIE

Date: 11/23/2015

Series 7

Date: 11/16/1985

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

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