MJ
Mary J. Jennings
FIRST KENTUCKY SECURITIES
Louisville, KY 40207
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CRD#: 1850902
MJ
Professional summary
Mary Jane Jennings, CFP®, who also goes by Jane Walker, Janey Walker, Mary Jane Walker, is a registered financial advisor currently at FIRST KENTUCKY SECURITIES CORPORATION located in Louisville, Kentucky.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mary has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jane Walker | Janey Walker | Mary Jane Walker
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.
Impact 100 Louisville-Non Profit fundraiser Possible 3 hours a week No compensation. Each person gives 1000.00 and they decide what organizations receive the money. Owns First Kentucky Stock
CRS (Client Relationship Summary) - RIA
Click below to view Mary Jane Jennings's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mary Jane Jennings'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®
CFP®
Start date: 2007
Experience
Current
October 30, 2015 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207RIA
BD
CRD#: 7524
Louisville, KY
Current
October 30, 2015 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207RIA
BD
CRD#: 7524
Louisville, KY
Past
July 13, 2010 - November 3, 2015
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
LOUISVILLE, KY
Past
July 13, 2010 - November 3, 2015
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
LOUISVILLE, KY
Past
January 1, 2004 - July 8, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LOUISVILLE, KY
Past
January 1, 2004 - July 8, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOUISVILLE, KY
Past
June 6, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
LOUISVILLE, KY
Past
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
May 10, 1994 - June 1, 2002
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
January 10, 1994 - May 17, 1994
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
July 29, 1988 - January 13, 1994
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 29, 1988 - January 13, 1994
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Alabama(3/11/2016)
RR
California(7/30/2024)
RR
Florida(7/6/2017)
RR
Georgia(10/30/2015)
RR
Idaho(6/13/2024)
RR
Illinois(7/30/2024)
RR
Indiana(11/9/2015)
RR
Kentucky(10/30/2015)
IAR
Kentucky(10/30/2015)
RR
Maryland(3/25/2024)
RR
Nevada(1/12/2021)
RR
New York(11/19/2021)
RR
North Carolina(5/21/2024)
RR
North Dakota(7/30/2024)
RR
Ohio(7/30/2024)
RR
Tennessee(10/30/2015)
RR
Virginia(4/23/2020)
RR
West Virginia(12/11/2024)
RR
Wisconsin(9/18/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 7524Louisville, KY 40207TRUST BUT VERIFY
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