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MJ
CFP
MJ
CFP

Mary Jennings

First Kentucky Securities CORP
37 Years of Experience
Louisville, KY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Mary Jennings is a CFP-designated registered investment advisor at First Kentucky Securities CORP, based in Louisville, KY, with 37 years of industry experience. Mary 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 (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mary is a fundraiser for Impact 100 Louisville, a non-profit organization, spending a few hours per week. She also owns First Kentucky Stock.

Employment History
Current Registrations
First Kentucky Securities CorporationBroker
October 2015 - Present · 11 yrs
First Kentucky Securities CORP
October 2015 - Present · 11 yrs
Previous Registrations
U.S. Bancorp Investments, INC.Broker
July 2010 - November 2015 · 5 yrs 4 mos
U.S. Bancorp Investments, INC.
July 2010 - November 2015 · 5 yrs 4 mos
PNC InvestmentsBroker
January 2004 - July 2010 · 6 yrs 6 mos
PNC Investments
January 2004 - July 2010 · 6 yrs 6 mos
Hilliard Lyons Asset Management
June 2003 - January 2004 · 7 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
June 2002 - January 2004 · 1 yr 7 mos
PNC Brokerage CORPBroker
May 1994 - June 2002 · 8 yrs 1 mo
Pml Securities CompanyBroker
January 1994 - May 1994 · 4 mos
Metlife Securities INC.Broker
July 1988 - January 1994 · 5 yrs 6 mos
Metropolitan Life Insurance CompanyBroker
July 1988 - January 1994 · 5 yrs 6 mos
State Registrations18 states
ALCAFLGAIDILINKYMDNCNDNVNYOHTNVAWIWV
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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