Jay R. Pierce

Some features on this profile are disabled

CRD#: 363274

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.

Jay Ross Pierce, who also goes by Jay R Pierce, was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 1972. Jay had worked at 4 firms and has passed the Series 1, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jay R Pierce

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

May 16, 1985 - October 3, 1989

FIRST KENTUCKY SECURITIES CORPORATION

CRD#: 7524

Past

May 30, 1974 - May 2, 1985

DUPREE & COMPANY, INC.

CRD#: 1697

Past

May 10, 1973 - July 12, 1974

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

June 23, 1972 - June 16, 1973

R PIERCE & COMPANY

CRD#: 1000001

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

General Industry/Product Exam

Series 1

Date: 6/21/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/27/1985

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/1985

General Securities Principal 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)

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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jay R. Pierce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DUPREE & COMPANY, INC.

THOMSON MCKINNON SECURITIES INC.

R PIERCE & COMPANY

Primary Firm SEC Registration

FIRST KENTUCKY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 1

Date: 6/21/1972

Series 53

Date: 9/27/1985

Series 24

Date: 5/29/1985

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

Similar Advisors