Richard Oconnor, financial advisor Louisville KY
93 score

Richard Oconnor

CRD Number: 1887924
Current Firm: First Kentucky Securities Corp

Richard Oconnor (CRD# 1887924) is an Investment Advisor Representative working at First Kentucky Securities Corp in Louisville, KY and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
First Kentucky Securities Corp Frankfort, KY Dec 2009 - Current 6
Morgan Keegan And Company Inc. Louisville, KY Mar 2002 - Dec 2009 7
Prudential Securities Louisville, KY Jul 1997 - Dec 2009 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1988
S65 NASAA Investment Advisors Law Examination Jul 1999
Contact Info for Richard K. Oconnor
Phone Number: 859.425.1100
Firm Website:
Registered State(s):
  • KY
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Security ratings or pricing services
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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