Bruce C. Corwin
FIRST KENTUCKY SECURITIES
Louisville, KY 40207
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CRD#: 4513571
Professional summary
Bruce C Corwin, CFP®, who also goes by Bruce Charles Corwin, is a registered financial advisor currently at FIRST KENTUCKY SECURITIES CORPORATION located in Louisville, Kentucky.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Bruce has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bruce Charles Corwin
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.
(1)BOURBON BROTHERHOOD * NOT INV RELATED * 12412 WARNER DR, GOSHEN, KY 40026 * MONTHLY BOURBON TASTING GROUP * FOUNDER * 2/2014 * 5 HRS PER MO * 1 DURING MKT HOURS * ORGANIZE MONTHLY BOURBON TASTING AT VARIOUS VENUES WITH VARIOUS SPEAKERS * (2)BOURBON MIXER * NOT INV RELATED * THE HENRY CLAY, 604 S 3RD ST, LOUISVILLE, KY * CHARITY FUND RAISING EVENT * CO-CHAIR * 5/2014 * 4 HRS PER MO * 1 DURING MKT HOURS * TICKET SALES, PUBLIC RELATIONS, ORGANIZE COMMITTEES, SILENT AUCTION, SPONSORS *
CRS (Client Relationship Summary) - RIA
Click below to view Bruce C Corwin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce C Corwin'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: 2014
Experience
Current
May 29, 2020 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207RIA
BD
CRD#: 7524
Louisville, KY
Current
May 29, 2020 - Present
FIRST KENTUCKY SECURITIES CORPORATION
Office #1: 4360 Brownsboro Road Suite 300, Louisville, KY 40207RIA
BD
CRD#: 7524
Louisville, KY
Past
June 17, 2019 - June 1, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
RIA
CRD#: 25440
LOUSIVILLE, KY
Past
June 17, 2019 - June 1, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
LOUSIVILLE, KY
Past
October 21, 2011 - June 20, 2019
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
LOUISVILLE, KY
Past
October 21, 2011 - June 20, 2019
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
LOUISVILLE, KY
Past
April 29, 2010 - August 26, 2011
MORGAN STANLEY
BD
CRD#: 149777
LOUISVILLE, KY
Past
April 12, 2010 - August 26, 2011
MORGAN STANLEY
RIA
CRD#: 149777
LOUISVILLE, KY
Past
February 7, 2005 - December 31, 2007
TDC GROUP, LLC.
RIA
CRD#: 119571
BEVERLY, 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(8/29/2023)
RR
Alaska(10/23/2025)
RR
Arizona(9/15/2023)
RR
California(11/6/2020)
RR
Colorado(5/15/2025)
RR
District of Columbia(7/30/2024)
RR
Florida(9/15/2023)
RR
Georgia(9/15/2023)
RR
Illinois(9/15/2023)
RR
Indiana(5/29/2020)
RR
Iowa(9/15/2023)
RR
Kansas(9/15/2023)
RR
Kentucky(5/29/2020)
IAR
Kentucky(5/29/2020)
RR
Massachusetts(5/29/2020)
RR
Nevada(7/30/2024)
RR
New Jersey(5/29/2020)
RR
North Carolina(9/15/2023)
RR
Ohio(6/27/2022)
RR
Oklahoma(8/16/2022)
RR
Pennsylvania(11/23/2022)
RR
Texas(9/15/2023)
RR
Wisconsin(7/30/2024)
Exams
State Security Law Exam
State Security Law 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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