Kevin Patrick Oconnor

First Kentucky Securities CORP

41 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

First Kentucky Securities CORP

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

15 advisors

Number of Clients

1,751 clients

Average Client Portfolio

$388K average

Assets Under Management

$678.6M

Fee Structure

Minimum Investment:$10K

Financial Planning:Investment management only

Location

4360 Brownsboro Road, Suite 300, Louisville, KY, 40207

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Other Business Activities

Kevin owns stock in First Kentucky Securities. This activity is not investment-related.

Employment History

Current Registrations

First Kentucky Securities CORP

November 2014 - Present · 11 yrs 3 mos

First Kentucky Securities CorporationBroker

May 2014 - Present · 11 yrs 9 mos

Previous Registrations

UBS Financial Services INC.Broker

September 2005 - June 2014 · 8 yrs 9 mos

UBS Financial Services INC.

September 2005 - June 2014 · 8 yrs 9 mos

Morgan Stanley

December 2002 - September 2005 · 2 yrs 9 mos

Morgan Stanley Dw INC.Broker

February 1987 - September 2005 · 18 yrs 7 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

April 1984 - February 1987 · 2 yrs 10 mos

State Registrations25 states

AKALARCADCFLGAILINKYMIMNMONCNDNJNMNVNYOHTNTXVAWAWV

AdvisorBrokerBoth

Exams

No exam information available for this advisor.