{"url":"https://nivawealth.com/firms/first-kentucky-securities-7524","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/7524","regulatoryAum":566003046,"crd":"7524","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6874415","suffix":null,"lastName":"CADY","firstName":"COLIN","middleName":"ELLIS"},{"crd":"4513571","suffix":null,"lastName":"CORWIN","firstName":"BRUCE","middleName":"C"},{"crd":"5363467","suffix":null,"lastName":"CURRENT","firstName":"TYLER","middleName":"DARRELL"},{"crd":"6908581","suffix":null,"lastName":"FLATT","firstName":"AUSTIN","middleName":"PARKER"},{"crd":"1171516","suffix":null,"lastName":"HARRISON","firstName":"CHRISTINA","middleName":"JONES"},{"crd":"2627639","suffix":null,"lastName":"HORLANDER","firstName":"MICHAEL","middleName":"A"},{"crd":"1850902","suffix":null,"lastName":"JENNINGS","firstName":"MARY","middleName":"JANE"},{"crd":"1771386","suffix":null,"lastName":"KIPER","firstName":"JAMES","middleName":"STEVEN"},{"crd":"5666533","suffix":null,"lastName":"KRAMER","firstName":"KIRSTEN","middleName":"V"},{"crd":"1053345","suffix":"JR","lastName":"KRAMER","firstName":"RAYMOND","middleName":"STRAND"},{"crd":"2603888","suffix":"JR","lastName":"MOSS","firstName":"JACK","middleName":"AEROD"},{"crd":"5337922","suffix":null,"lastName":"O'CONNOR","firstName":"RYAN","middleName":"PATRICK"},{"crd":"1250514","suffix":null,"lastName":"OCONNOR","firstName":"KEVIN","middleName":"PATRICK"},{"crd":"4690324","suffix":"SR","lastName":"PICKRELL","firstName":"BRADLEY","middleName":"CLARK"},{"crd":"6131776","suffix":null,"lastName":"WEBB","firstName":"RUTH","middleName":"HUTCHISON"}],"total":15,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-01-06","regulatoryAum":565862068,"clients":2151,"employees":30,"offices":2},{"filedOn":"2021-12-07","regulatoryAum":717175163,"clients":2579,"employees":33,"offices":2},{"filedOn":"2023-01-18","regulatoryAum":641112265,"clients":2841,"employees":25,"offices":2},{"filedOn":"2024-07-10","regulatoryAum":535292802,"clients":1680,"employees":24,"offices":2},{"filedOn":"2024-12-18","regulatoryAum":678564542,"clients":1751,"employees":20,"offices":2},{"filedOn":"2025-12-02","regulatoryAum":566003046,"clients":1530,"employees":19,"offices":2}],"secFileNumber":"801-67742","legalName":"First 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Jones Harrison","title":"Vice President/ Shareholder","crd":"1171516"},{"name":"Mary Jane Jennings","title":"Vice President/ Secretary/ Shareholder","crd":"1850902"},{"name":"Kevin Patrick Oconnor","title":"Senior Vice President/Board Member","crd":"1250514"},{"name":"Judy Elizabeth Howell","title":"Private Wealth Advisor/ Shareholder","crd":"1634346"},{"name":"Frederick Jennings Kramer","title":"Registered Representative","crd":"2299599"},{"name":"Ann Marie Nicholson","title":"CCO","crd":"2449342"},{"name":"Raymond Strand Jr Kramer","title":"Branch Manager/ Muni Principal/ Board Member","crd":"1053345"},{"name":"William Cranston Jr Fenwick","title":"Senior VP & Board Member","crd":"1547907"},{"name":"Ryan Patrick Oconnor","title":"CFO/ CEO/ Branch Manager/ Board Member","crd":"5337922"}],"ownership":[{"label":"Raymond Strand Jr Kramer","detail":"Branch manager/ muni principal/ board member in the 10% to 25% ownership band and a control person, since October 2016."},{"label":"William Cranston Jr Fenwick","detail":"Senior vp & board member in the 10% to 25% ownership band and a control person, since September 2007."},{"label":"Kevin Patrick Oconnor","detail":"Senior vice president/board member in the 10% to 25% ownership band and a control person, since July 2014."},{"label":"Ryan Patrick Oconnor","detail":"Cfo/ ceo/ branch manager/ board member in the 5% to 10% ownership band and a control person, since August 2019."},{"label":"Tyler Darrell Current","detail":"Vice president/board member in the 5% to 10% ownership band and a control person, since November 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":2,"addresses":[{"street":"4360 Brownsboro Road, Suite 300","city":"Louisville","headquarters":true},{"street":"1500 Leestown Road","city":"Lexington"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"502-893-7288","stateRegisteredReps":19,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Security ratings or pricing services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":21},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":14},{"label":"Securities issued by registered investment companies or business development companies","percent":53},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"2 December 2025","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/7524/PDF/7524.pdf","brochureDate":"2 December 2025","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=997553","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does First Kentucky Securities have?","answer":"First Kentucky Securities has 1,530 clients and manages $566 million for them, as of December 2025. They include 1,108 individual clients, 413 high-net-worth individuals and 4 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 December 2025","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does First Kentucky Securities offer?","answer":"First Kentucky Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, and security ratings or pricing.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does First Kentucky Securities use?","answer":"First Kentucky Securities’ separately managed account assets are held at RBC Capital Markets, LLC (Minneapolis, MN), with $565M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 December 2025","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does First Kentucky Securities have?","answer":"First Kentucky Securities has 19 investment adviser representatives registered with state securities authorities, out of 19 employees, and 16 perform investment advisory functions. 19 employees are registered representatives of a broker-dealer and 8 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does First Kentucky Securities invest in?","answer":"At the end of its last fiscal year, First Kentucky Securities’ separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 21% exchange-traded equities, 14% high-yield corporate bonds, 4% U.S. government and agency bonds, 4% cash and equivalents, 2% state and local bonds and 2% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns First Kentucky Securities?","answer":"First Kentucky Securities’ direct owners are Raymond Strand Jr Kramer, William Cranston Jr Fenwick, Kevin Patrick Oconnor, Ryan Patrick Oconnor and Tyler Darrell Current, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 2 December 2025","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does First Kentucky Securities get paid?","answer":"First Kentucky Securities is paid through a percentage of assets under management, hourly charges, fixed fees, performance-based fees and other compensation. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact First Kentucky Securities?","answer":"First Kentucky Securities’ main office is at 4360 Brownsboro Road, Suite 300, Louisville, KY 40207. Its phone number is 502-893-7288. Its website is firstky.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 December 2025","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}