| Name: | FIRST KENTUCKY SECURITIES CORPORATION |
| Jurisdiction: | Kentucky |
| Profit or Non-Profit: | Profit |
| Legal type: | Kentucky Corporation |
| Status: | Active |
| Standing: | Good |
| File Date: | 30 Sep 1977 (47 years ago) |
| Organization Date: | 30 Sep 1977 (47 years ago) |
| Last Annual Report: | 08 Oct 2024 (3 months ago) |
| Organization Number: | 0083440 |
| Industry: | Security & Commodity Brokers, Dealers, Exchanges & Services |
| Number of Employees: | Medium (20-99) |
| ZIP code: | 40207 |
| Primary County: | Jefferson |
| Principal Office: | 4360 BROWNSBORO ROAD, SUITE 300, LOUISVILLE, KY 40207 |
| Place of Formation: | KENTUCKY |
| Authorized Shares: | 2000 |
| Type | Company Name | Company Number | State |
|---|---|---|---|
| Headquarter of | FIRST KENTUCKY SECURITIES CORPORATION, NEW YORK | 3962117 | NEW YORK |
| Headquarter of | FIRST KENTUCKY SECURITIES CORPORATION, FLORIDA | F21000002309 | FLORIDA |
| CIK number | Mailing Address | Business Address | Phone | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| 225345 | 4360 BROWNSBORO ROAD, SUITE 300, LOUISVILLE, KY, 40207 | 4360 BROWNSBORO ROAD, SUITE 300, LOUISVILLE, KY, 40207 | 502-893-7288 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2024-10-01 |
| Reporting date | 2024-09-30 |
| File | View File |
Filings since 2024-03-01
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2024-03-01 |
| Reporting date | 2023-09-30 |
| File | View File |
Filings since 2023-10-11
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2023-10-11 |
| Reporting date | 2023-09-30 |
| File | View File |
Filings since 2023-01-18
| Form type | MA/A |
| File number | 867-01954 |
| Filing date | 2023-01-18 |
| File | View File |
Filings since 2022-11-14
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2022-11-14 |
| Reporting date | 2022-09-30 |
| File | View File |
Filings since 2022-10-04
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2022-10-04 |
| Reporting date | 2022-09-30 |
| File | View File |
Filings since 2021-12-06
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2021-12-06 |
| Reporting date | 2021-09-30 |
| File | View File |
Filings since 2021-10-05
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2021-10-05 |
| Reporting date | 2021-09-30 |
| File | View File |
Filings since 2020-12-08
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2020-12-08 |
| Reporting date | 2020-09-30 |
| File | View File |
Filings since 2020-10-23
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2020-10-23 |
| Reporting date | 2020-09-30 |
| File | View File |
Filings since 2019-12-09
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2019-12-09 |
| Reporting date | 2019-09-30 |
| File | View File |
Filings since 2019-10-17
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2019-10-17 |
| Reporting date | 2019-09-30 |
| File | View File |
Filings since 2019-07-18
| Form type | MA-I/A |
| File number | 868-05059 |
| Filing date | 2019-07-18 |
| File | View File |
Filings since 2019-07-18
| Form type | MA-I/A |
| File number | 868-05059 |
| Filing date | 2019-07-18 |
| File | View File |
Filings since 2018-11-07
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2018-11-07 |
| Reporting date | 2018-09-30 |
| File | View File |
Filings since 2018-10-02
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2018-10-02 |
| Reporting date | 2018-09-30 |
| File | View File |
Filings since 2018-07-31
| Form type | MA-I/A |
| File number | 868-05059 |
| Filing date | 2018-07-31 |
| File | View File |
Filings since 2018-01-02
| Form type | MA-I/A |
| File number | 868-05059 |
| Filing date | 2018-01-02 |
| File | View File |
Filings since 2017-12-07
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2017-12-07 |
| Reporting date | 2017-09-30 |
| File | View File |
Filings since 2017-10-30
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2017-10-30 |
| Reporting date | 2017-09-30 |
| File | View File |
Filings since 2017-10-06
| Form type | MA-I/A |
| File number | 868-05059 |
| Filing date | 2017-10-06 |
| File | View File |
Filings since 2017-05-18
| Form type | MA-I/A |
| File number | 868-05059 |
| Filing date | 2017-05-18 |
| File | View File |
Filings since 2016-12-20
| Form type | X-17A-5/A |
| File number | 008-22224 |
| Filing date | 2016-12-20 |
| Reporting date | 2016-09-30 |
| File | View File |
Filings since 2016-11-29
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2016-11-29 |
| Reporting date | 2016-09-30 |
| File | View File |
Filings since 2016-11-21
| Form type | MA-A |
| File number | 867-01954 |
| Filing date | 2016-11-21 |
| Reporting date | 2016-09-30 |
| File | View File |
Filings since 2016-08-15
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2016-08-15 |
| Reporting date | 2015-09-30 |
| File | View File |
Filings since 2015-12-14
| Form type | MA |
| File number | 867-01954 |
| Filing date | 2015-12-14 |
| File | View File |
Filings since 2015-12-08
| Form type | MA-I |
| File number | 868-05059 |
| Filing date | 2015-12-08 |
| File | View File |
Filings since 2015-12-07
| Form type | MA-I |
| File number | 868-05059 |
| Filing date | 2015-12-07 |
| File | View File |
Filings since 2015-12-07
| Form type | MA-I |
| File number | 868-05059 |
| Filing date | 2015-12-07 |
| File | View File |
Filings since 2015-12-07
| Form type | MA-I |
| File number | 868-05059 |
| Filing date | 2015-12-07 |
| File | View File |
Filings since 2014-11-28
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2014-11-28 |
| Reporting date | 2014-09-30 |
| File | View File |
Filings since 2013-12-02
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2013-12-02 |
| Reporting date | 2013-09-03 |
| File | View File |
Filings since 2012-11-28
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2012-11-28 |
| Reporting date | 2012-09-30 |
| File | View File |
Filings since 2011-12-29
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2011-12-29 |
| Reporting date | 2011-09-30 |
| File | View File |
Filings since 2010-12-01
| Form type | FOCUSN/A |
| File number | 008-22224 |
| Filing date | 2010-12-01 |
| Reporting date | 2010-09-30 |
| File | View File |
Filings since 2010-11-30
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2010-11-30 |
| Reporting date | 2010-09-30 |
| File | View File |
Filings since 2010-01-27
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2010-01-27 |
| Reporting date | 2009-09-30 |
| File | View File |
Filings since 2008-11-26
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2008-11-26 |
| Reporting date | 2008-09-30 |
| File | View File |
Filings since 2007-11-21
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2007-11-21 |
| Reporting date | 2007-09-30 |
| File | View File |
Filings since 2006-11-16
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2006-11-16 |
| Reporting date | 2006-09-30 |
| File | View File |
Filings since 2005-11-21
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2005-11-21 |
| Reporting date | 2005-09-30 |
| File | View File |
Filings since 2004-11-24
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2004-11-24 |
| Reporting date | 2004-09-30 |
| File | View File |
Filings since 2003-11-14
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2003-11-14 |
| Reporting date | 2003-09-30 |
| File | View File |
Filings since 2002-12-02
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2002-12-02 |
| Reporting date | 2002-09-30 |
| File | View File |
Filings since 2002-01-14
| Form type | X-17A-5 |
| File number | 008-22224 |
| Filing date | 2002-01-14 |
| Reporting date | 2001-09-30 |
| File | View File |
| Plan Name | Plan Year | EIN/PN | Received | Sponsor | Total number of participants | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FIRST KENTUCKY SECURITIES 401(K) PLAN | 2023 | 610924505 | 2024-04-16 | FIRST KENTUCKY SECURITIES | 39 | |||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||
| FIRST KENTUCKY SECURITIES CORPORATION CBS BENEFIT PLAN | 2022 | 610924505 | 2023-12-27 | FIRST KENTUCKY SECURITIES CORPORATION | 22 | |||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||
| Administrator’s EIN | 846429706 |
| Plan administrator’s name | SHAWNA BURTON |
| Plan administrator’s address | 464 CHENAULT RD, FRANKFORT, KY, 40601 |
| Administrator’s telephone number | 5026954700 |
Signature of
| Role | Plan administrator |
| Date | 2023-12-27 |
| Name of individual signing | SHAWNA BURTON |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 4360 BROWNSBORO RD STE 300, LOUISVILLE, KY, 402071642 |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 4360 BROWNSBORO RD STE 115, LOUISVILLE, KY, 402071642 |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 4360 BROWNSBORO RD STE 115, LOUISVILLE, KY, 402071642 |
| File | View Page |
| Three-digit plan number (PN) | 501 |
| Effective date of plan | 2020-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 4360 BROWNSBORO RD, SUITE 115, LOUISVILLE, KY, 40207 |
Plan administrator’s name and address
| Administrator’s EIN | 846429706 |
| Plan administrator’s name | SHAWNA BURTON |
| Plan administrator’s address | 464 CHENAULT RD, FRANKFORT, KY, 40601 |
| Administrator’s telephone number | 5026954700 |
Signature of
| Role | Plan administrator |
| Date | 2021-12-14 |
| Name of individual signing | SHAWNA BURTON |
| Valid signature | Filed with authorized/valid electronic signature |
| Three-digit plan number (PN) | 501 |
| Effective date of plan | 2020-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 4360 BROWNSBORO RD SUITE 115, LOUISVILLE, KY, 40207 |
Plan administrator’s name and address
| Administrator’s EIN | 846429706 |
| Plan administrator’s name | KELLY WOLF |
| Plan administrator’s address | 464 CHENAULT RD, FRANKFORT, KY, 40601 |
| Administrator’s telephone number | 5026954700 |
Signature of
| Role | Plan administrator |
| Date | 2020-12-23 |
| Name of individual signing | KELLY WOLF |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 4360 BROWNSBORO RD STE 115, LOUISVILLE, KY, 402071642 |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 4360 BROWNSBORO RD STE 115, LOUISVILLE, KY, 402071642 |
Signature of
| Role | Plan administrator |
| Date | 2019-03-11 |
| Name of individual signing | SHEREE BOLLINGER |
| Valid signature | Filed with authorized/valid electronic signature |
| Role | Employer/plan sponsor |
| Date | 2019-03-11 |
| Name of individual signing | SHEREE BOLLINGER |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 377 E MAIN ST, LEXINGTON, KY, 405071501 |
Signature of
| Role | Plan administrator |
| Date | 2018-05-10 |
| Name of individual signing | SHEREE BOLLINGER |
| Valid signature | Filed with authorized/valid electronic signature |
| Role | Employer/plan sponsor |
| Date | 2018-05-10 |
| Name of individual signing | SHEREE BOLLINGER |
| Valid signature | Filed with authorized/valid electronic signature |
| File | https://efast2-filings-public.s3.amazonaws.com/prd/2017/06/29/20170629094624P030022193309001.pdf |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 377 E MAIN ST, LEXINGTON, KY, 405071501 |
Signature of
| Role | Plan administrator |
| Date | 2017-06-29 |
| Name of individual signing | SHEREE BOLLINGER |
| Valid signature | Filed with authorized/valid electronic signature |
| File | https://efast2-filings-public.s3.amazonaws.com/prd/2016/07/28/20160728122859P040054385617001.pdf |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2015-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 5028937132 |
| Plan sponsor’s address | 377 E MAIN ST, LEXINGTON, KY, 405071501 |
Signature of
| Role | Plan administrator |
| Date | 2016-07-28 |
| Name of individual signing | SHEREE BOLLINGER |
| Valid signature | Filed with authorized/valid electronic signature |
| Name | Role |
|---|---|
| SAM G. MCNAMARA | Director |
| Mary J. Jennings | Director |
| R. Strand Kramer | Director |
| Tyler D. Current | Director |
| Ryan P. O'Connor | Director |
| Kevin P. O'Connor | Director |
| DONALD E. BRADSHAW | Director |
| RALPH G. NALL | Director |
| Name | Role |
|---|---|
| DONALD E. BRADSHAW | Incorporator |
| Name | Role |
|---|---|
| JAMES SEIFFERT | Registered Agent |
| Name | Role |
|---|---|
| Ann M. Nicholson | Vice President |
| Name | Role |
|---|---|
| Mary J. Jennings | Secretary |
| Name | Role |
|---|---|
| Ryan P. O'Connor | President |
| Name | Action |
|---|---|
| KEVIN P. O'CONNOR LLC | Merger |
| Name | Status | Expiration Date |
|---|---|---|
| FIRST CREDIT ADVISORS | Inactive | 2023-08-10 |
| Name | File Date |
|---|---|
| Annual Report Amendment | 2024-10-08 |
| Annual Report | 2024-02-28 |
| Annual Report | 2023-03-07 |
| Annual Report | 2022-03-16 |
| Annual Report | 2021-02-09 |
| Principal Office Address Change | 2021-01-07 |
| Annual Report Amendment | 2020-02-11 |
| Annual Report | 2020-02-11 |
| Annual Report | 2019-04-22 |
| Certificate of Assumed Name | 2018-08-10 |
Date of last update: 08 Jan 2025
Sources: Kentucky Secretary of State
