# EDGAR Filing Document

**Accession Number:** 0000225345
**File Stem:** 0000225345-25-000003
**Filing Date:** 2025-10
**Character Count:** 14662
**Document Hash:** ae440f2ad439e414652e49f16e95977b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000225345-25-000003.hdr.sgml**: 20251124

**ACCESSION NUMBER**: 0000225345-25-000003

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251006

**DATE AS OF CHANGE**: 20251124

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIRST KENTUCKY SECURITIES CORPORATION
- **CENTRAL INDEX KEY:** 0000225345

**ORGANIZATION NAME:**
- **EIN:** 610924505
- **STATE OF INCORPORATION:** KY
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01954
- **FILM NUMBER:** 251512086

**BUSINESS ADDRESS:**
- **STREET 1:** 4360 BROWNSBORO ROAD
- **STREET 2:** SUITE 300
- **CITY:** LOUISVILLE
- **STATE:** KY
- **ZIP:** 40207
- **BUSINESS PHONE:** 502-893-7288

**MAIL ADDRESS:**
- **STREET 1:** 4360 BROWNSBORO ROAD
- **STREET 2:** SUITE 300
- **CITY:** LOUISVILLE
- **STATE:** KY
- **ZIP:** 40207

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST KENTUCKY SECURITIES Corp
- **DATE OF NAME CHANGE:** 20170519

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST KENTUCKY SECURITIES CORPORATION
- **DATE OF NAME CHANGE:** 20020925

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST KENTUCKY SECURITIES CORP                          /BD
- **DATE OF NAME CHANGE:** 20000101

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000225345

**Filer CCC:** XXXXXXXX

**Contact Name:** Ann Nicholson

**Contact Phone:** 502-893-7288

**Contact Email:** anicholson@firstky.com

**Notification Emails:** anicholson@firstky.com, ryan@firstky.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** FIRST KENTUCKY SECURITIES CORPORATION

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 7524

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 61-0924505

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-0117800

- **Municipal Advisor:** SEC File No: 867-01954

- **Broker-Dealer:** SEC File No: 008-22224, CRD No: 7524

- **SEC-Registered Investment Adviser:** SEC File No: 801-67742, CRD No: 7524

**E. Principal Office and Place of Business:** 4360 Brownsboro Road, Suite 300, Louisville, KY, 40207

**Telephone Number:** 502-893-7288

**Additional Offices of Employment:**

- **Office #1 (Add):** 1500 Leestown Road, Suite 330, Lexington, KY, 40511 | Phone: 859-425-1100

**Mailing Address is Different from Principal Office:** No

**F. Website:** firstky.com

**G. Chief Compliance Officer (CCO):**

**Name:** Ann Marie Nicholson

**Address:** 4360 Brownsboro Road, Suite 300, Louisville, KY, 40207

**Phone Number:** 5028937288

**Email:** anicholson@firstky.com

**H. Business Affiliates:**

- **Name:** First Credit Advisors

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** September

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** KY

**D. Date of Organization:** 10-01-1977

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 19

**B. Municipal Advisory Activities - Employees:** 2

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 2

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 2

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 3

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Contingent Fees
, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Contingent Fees
, Contingent Fees

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Insurance:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** Yes

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** Yes

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** Yes

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                  | Title/Status                       | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|---:|
| Raymond Strand Kramer | Municipal Principal/Branch Manager | 10-01-2016      | B - 10% but less than 25% | Yes               |      1053345 |
| Kevin P O'Connor      | Senior VP                          | 05-01-2004      | B - 10% but less than 25% | Yes               |      1250514 |
| Frederick J Kramer    | Financial Advisor                  | 01-01-2016      | NA - less than 5%         | No                |      2299599 |
| Christina J Harrison  | Vice President                     | 05-01-2001      | NA - less than 5%         | No                |      1171516 |
| Tyler Darrell Current | Senior Vice President/Board Member | 11-01-2015      | NA - less than 5%         | Yes               |      5363467 |
| Judy E Howell         | Private Wealth Advisor             | 01-01-2001      | NA - less than 5%         | No                |      1634346 |
| Ann Marie Nicholson   | CCO                                | 10-01-2015      | NA - less than 5%         | Yes               |      2449342 |
| Ryan Patrick OConnor  | CEO/CFO/Branch Manager             | 10-01-2019      | NA - less than 5%         | Yes               |      5337922 |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                  | Title/Status                       | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|:---|:---|:---|---:|
| Amend  | Direct      |  | Raymond Strand Kramer | Municipal Principal/Branch Manager | 10-01-2016      | C - 25% but less than 50% | Yes               |      1053345 |
|  | Direct      |  | Kevin P O'Connor      | Senior VP                          | 05-01-2004      | B - 10% but less than 25% | Yes               |      1250514 |
| Amend  | Direct      |  | Frederick J Kramer    | Financial Advisor                  | 01-01-2016      | A - 5% but less than 10%  | No                |      2299599 |
|  | Direct      |  | Christina J Harrison  | Vice President                     | 05-01-2001      | NA - less than 5%         | No                |      1171516 |
| Amend  | Direct      |  | Tyler Darrell Current | Senior Vice President/Board Member | 11-01-2015      | B - 10% but less than 25% | Yes               |      5363467 |
|  | Direct      |  | Judy E Howell         | Private Wealth Advisor             | 01-01-2001      | NA - less than 5%         | No                |      1634346 |
|  | Direct      |  | Ann Marie Nicholson   | CCO                                | 10-01-2015      | NA - less than 5%         | Yes               |      2449342 |
| Amend  | Direct      |  | Ryan Patrick OConnor  | CEO/CFO/Branch Manager             | 10-01-2019      | B - 10% but less than 25% | Yes               |      5337922 |
| NewAdd | Direct      |  | Mary Jane Jennings    | Vice President/Secretary           | 10-01-2015      | NA - less than 5%         | Yes               |      1850902 |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First KY Securities

- **CRD Number:** 7524

- **Disclosure Number:** 1815466

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First KY Securities Corp.

- **CRD Number:** 7524

- **Disclosure Number:** 1607989

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First KY Securities Corp

- **CRD Number:** 7524

- **Disclosure Number:** 1530813

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First KY Securities Corp.

- **CRD Number:** 7524

- **Disclosure Number:** 1304052

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First KY Securities Corp.

- **CRD Number:** 7524

- **Disclosure Number:** 274414

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First KY Securities

- **CRD Number:** 7524

- **Disclosure Number:** 203383

  - **Associated Person:** Raymond Strand Kramer

  - **CRD Number:** 1053345

  - **Filed On (AP):** Form ADV/BD/U4 for First KY Securities Corp

  - **Disclosure Number:** 203383

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First Kentucky Securities Corporation

- **CRD Number:** 7524

- **Disclosure Number:** 1970892

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First Kentucky Securities Corporation

- **CRD Number:** 7524

- **Disclosure Number:** 2020182

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First Kentucky Securities Corporation

- **CRD Number:** 7524

- **Disclosure Number:** 1871755

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for First Kentucky Securities Corporation

- **CRD Number:** 7524

- **Disclosure Number:** 1871646

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** Frederick Jennings Kramer

  - **CRD Number:** 2299599

  - **Filed On (AP):** Form ADV/BD/U4 for First Kentucky Securities Corporation

  - **Disclosure Number:** 2056659

### Execution Page

**Signature:** Ann Nicholson

**Signer Name:** Ann Nicholson

**Title:** CCO

**Date:** 10-06-2025

**CRD Number:** 7524