AN
Ann M. Nicholson
FIRST KENTUCKY SECURITIES
Louisville, KY 40207
Some features on this profile are disabled
CRD#: 2449342
AN
Professional summary
Ann Marie Nicholson, who also goes by Ann Marie Heitzinger, Ann Marie Rodriguez, Ann Rodriquez, Ann Marie Wirtz, is a registered financial professional currently at FIRST KENTUCKY SECURITIES CORPORATION located in Louisville, Kentucky.
Ann is registered as a RR (Registered Representative) and started their career in finance in 1995. Ann has worked at 6 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 24, Series 14, Series 53, Series 23, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ann Marie Heitzinger | Ann Marie Rodriguez | Ann Rodriquez | Ann Marie Wirtz
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 Ann Marie Nicholson'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 19, 2012 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207RIA
BD
CRD#: 7524
Louisville, KY
Past
February 28, 2011 - March 20, 2012
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
May 18, 2001 - April 22, 2010
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
LOUISVILLE, KY
Past
August 11, 2000 - June 1, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 10, 2000 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
May 26, 1998 - March 10, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 31, 1995 - May 22, 1998
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
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
Alabama(3/11/2016)
RR
Kentucky(3/19/2012)
RR
New Mexico(2/22/2016)
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 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/5/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Monitor Ann Nicholson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
