Rodney E. Knox

FIRST KENTUCKY SECURITIES

Lexington, KY 40511

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CRD#: 272705

Professional summary

Rodney Earl Knox is a registered financial professional currently at FIRST KENTUCKY SECURITIES CORPORATION located in Lexington, Kentucky.

Rodney is registered as a RR (Registered Representative) and started their career in finance in 1970. Rodney has worked at 12 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 1, Series 53, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rodney Earl Knox'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

July 26, 2004 - Present

FIRST KENTUCKY SECURITIES CORPORATION

Office #1: 1500 Leestown Road Suite 330, Lexington, KY 40511

RIA

CRD#: 7524

Lexington, KY

Past

January 31, 2003 - August 16, 2004

ROTHSCHILD INVESTMENT LLC

CRD#: 728

CHICAGO, IL

Past

September 5, 2001 - September 19, 2002

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140

CLAYTON, MO

Past

October 26, 2000 - July 25, 2001

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

July 1, 1999 - December 20, 2000

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

February 20, 1998 - July 1, 1999

FIRST SECURITY CAPITAL MARKETS, INC.

CRD#: 44354

SALT LAKE CITY, UT

Past

September 18, 1997 - January 29, 1998

FIRST SECURITY INVESTOR SERVICES, INC.

CRD#: 15515

SALT LAKE CITY, UT

Past

January 21, 1992 - February 5, 1997

PLENGE, THOMAS & GUNNING SECURITIES, INC.

CRD#: 7463

PHOENIX, AZ

Past

April 10, 1990 - November 20, 1991

INSIGHT SECURITIES, INC.

CRD#: 5611

HIGHLAND PARK, IL

Past

July 10, 1989 - April 5, 1990

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

CHICAGO, IL

Past

July 9, 1987 - August 18, 1988

COLUMBIAN SECURITIES, INC.

CRD#: 1499

Past

April 6, 1982 - June 8, 1987

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

Past

September 19, 1980 - March 2, 1982

COLUMBIAN SECURITIES, INC.

CRD#: 1499

Past

March 7, 1975 - July 23, 1978

BACON, WHIPPLE & CO.

CRD#: 67

Past

May 15, 1973 - May 16, 1975

COLUMBIAN SECURITIES, INC.

CRD#: 1499

Past

August 21, 1970 - June 9, 1973

BACON, WHIPPLE & CO.

CRD#: 67

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.

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

Missouri
(12/1/2010)

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

Series 63

Date: 2/13/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 8/19/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/2/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/1990

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 2/25/1981

Financial and Operations Principal 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 (16 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 (12/2/2025)

FORM ADV PART 2A: FIRM BROCHURE (12/2/2025)

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	1,530
AUM (Assets Under Management)	$ 566,003,046

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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Rodney E. Knox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rodney Earl Knox's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

COMMERCE BROKERAGE SERVICES, INC.

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO SECURITIES, LLC

FIRST SECURITY CAPITAL MARKETS, INC.

FIRST SECURITY INVESTOR SERVICES, INC.

PLENGE, THOMAS & GUNNING SECURITIES, INC.

INSIGHT SECURITIES, INC.

CLAYTON BROWN & ASSOCIATES, INC.

COLUMBIAN SECURITIES, INC.

CLAYTON BROWN & ASSOCIATES, INC.

COLUMBIAN SECURITIES, INC.

BACON, WHIPPLE & CO.

COLUMBIAN SECURITIES, INC.

BACON, WHIPPLE & CO.

Primary Firm SEC Registration

FIRST KENTUCKY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 2/13/1981

Series 7TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 8/19/1970

Series 53

Date: 1/2/2023

Series 24

Date: 7/3/1990

Series 27

Date: 2/25/1981

FINRA

Current Firm

FIRST KENTUCKY SECURITIES CORPORATION

Contact information

SEC notice filing (16 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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