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Kevin Oconnor

First Kentucky Securities CORP
42 Years of Experience
Louisville, KY
Broker
View SEC Summary
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Kevin Oconnor is a registered investment advisor at First Kentucky Securities CORP, based in Louisville, KY, with 42 years of industry experience. Kevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 1,530 clients with $570M in assets under management.

First Kentucky Securities CORP
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
15 advisors
Number of Clients
1,530 clients
Average Client Portfolio
$370K average
Assets Under Management
$566.0M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Annual fee of up to 1.00% of managed assets. For households with more than $1 million in assets, the total fee is capped at a maximum amount.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

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.

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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 11 mos
First Kentucky Securities CorporationBroker
May 2014 - Present · 12 yrs 5 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

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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