Unclaimed Profile

Kevin Patrick Oconnor

FIRST KENTUCKY SECURITIES CORPORATION·LOUISVILLE, Kentucky

SIE, Series 3, Series 7, Series 63, Series 65Clean record23 years registeredFIRST KENTUCKY SECURITIES CORPORATION

4360 BROWNSBORO ROAD, LOUISVILLE, KY 40207CRD# 1250514Firm CRD# 7524

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kevin Patrick Oconnor · LOUISVILLE, KY

Registration

CRD #1250514 · FIRST KENTUCKY SECURITIES CORPORATION · 23 years registered

Brand Profile

Not yet started

Career History

FIRST KENTUCKY SECURITIES CORP

Nov 2014 – present

UBS FINANCIAL SERVICES INC.

Sep 2005 – Jun 2014

LOUISVILLE, KY

MORGAN STANLEY

Dec 2002 – Sep 2005

LOUISVILLE, KY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 63

Series 65

Registration record

First registered · December 10, 2002

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FIRST KENTUCKY SECURITIES CORPORATION

CRD 7524 · SEC 801-67742

AUM

$679M

Regulatory assets under management

Employees

1,757 client accounts

Services offered by FIRST KENTUCKY SECURITIES CORPORATION

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Educational seminars/workshops

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FIRST KENTUCKY SECURITIES CORPORATION →

Introduction

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Frequently Asked Questions

What services does Kevin Patrick Oconnor offer?

Kevin Patrick Oconnor specializes in Financial Planning, Investment Management, Wealth Management, Financial Education. Contact their office in LOUISVILLE, Kentucky for a consultation.

What are Kevin Patrick Oconnor's credentials?

Kevin Patrick Oconnor is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kevin Patrick Oconnor located?

Kevin Patrick Oconnor is based in LOUISVILLE, Kentucky, working with FIRST KENTUCKY SECURITIES CORPORATION. Their office serves clients in the LOUISVILLE metropolitan area and surrounding communities.

How does Kevin Patrick Oconnor charge for services?

Kevin Patrick Oconnor's firm is compensated through percentage of aum, hourly charges, subscription fees, other: commissions for fixed income principal transactions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FIRST KENTUCKY SECURITIES CORPORATION?

FIRST KENTUCKY SECURITIES CORPORATION has approximately 20 employees and manages $679M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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