Andrew S. Walters

CRD#: 7291210

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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.

Andrew S Walters, who also goes by Andrew Stephen Walters, Andrew Walters, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2020. Andrew had worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Stephen Walters | Andrew Walters

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

February 29, 2024 - December 6, 2024

FIRST KENTUCKY SECURITIES CORPORATION

CRD#: 7524

LEXINGTON, KY

Past

February 28, 2024 - December 6, 2024

FIRST KENTUCKY SECURITIES CORPORATION

RIA

CRD#: 7524

LEXINGTON, KY

Past

September 13, 2022 - August 2, 2023

FISHER INVESTMENTS

RIA

CRD#: 107342

Camas, WA

Past

May 25, 2022 - August 11, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lexington, KY

Past

May 25, 2022 - August 11, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lexington, KY

Past

February 19, 2021 - April 25, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

GREENWOOD VILLAGE, CO

Past

February 12, 2021 - April 12, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

October 7, 2020 - January 6, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

ROSEVILLE, CA

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

State Security Law Exam

IAR

Series 66

Date: 11/12/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/7/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/15/2020

Securities Industry Essentials 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)

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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 (46 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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Advisor Monitoring

Firm Stability Insights

Andrew S. Walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST KENTUCKY SECURITIES CORPORATION

FISHER INVESTMENTS

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

FIRST KENTUCKY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 11/12/2020

Series 7TO

Date: 10/7/2020

SIE

Date: 5/15/2020

Current Firm

FIRST KENTUCKY SECURITIES CORPORATION

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (46 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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