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BC
CFP
BC
CFP

Bruce Corwin

First Kentucky Securities CORP
19 Years of Experience
Louisville, KY
Broker
View SEC Summary
View SEC Summary

Bruce Corwin is a CFP-designated registered investment advisor at First Kentucky Securities CORP, based in Louisville, KY, with 19 years of industry experience. Bruce 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

Bruce is the founder of Bourbon Brotherhood, a monthly bourbon tasting group, and co-chair of Bourbon Mixer, a charity fundraising event. These activities are not investment-related and take minimal time each month.

Employment History
Current Registrations
First Kentucky Securities CorporationBroker
May 2020 - Present · 6 yrs 5 mos
First Kentucky Securities CORP
May 2020 - Present · 6 yrs 5 mos
Previous Registrations
Ross, Sinclaire & Associates, LLCBroker
June 2019 - June 2020 · 1 yr
Ross, Sinclaire & Associates, LLC
June 2019 - June 2020 · 1 yr
Raymond James & Associates, INC.
October 2011 - June 2019 · 7 yrs 8 mos
Raymond James & Associates, INC.Broker
October 2011 - June 2019 · 7 yrs 8 mos
Morgan Stanley Smith BarneyBroker
April 2010 - August 2011 · 1 yr 4 mos
Morgan Stanley Smith Barney LLC
April 2010 - August 2011 · 1 yr 4 mos
Tdc Group, LLC.
February 2005 - December 2007 · 2 yrs 10 mos
State Registrations22 states
AKALAZCACODCFLGAIAILINKSKYMANCNJNVOHOKPATXWI
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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