Kentucky

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

Kentucky at a glance

As of July 2026, Kentucky registers 8 broker-dealer firms on FINRA BrokerCheck - 2 carry a clean record and 20 disclosures are on file statewide.

8
registered firms
2
with a clean record (Grade A)
20
total disclosures statewide
2.5
disclosures per firm (avg)
8
Registered Firms
2
Clean Record (Grade A)
20
Total Disclosures
2.5
Avg Disclosures / Firm

Grade Distribution

How Kentucky's 8 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (2)2 firmsB, low (5)5 firmsC, typical (1)1 firmD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 8 graded firms headquartered in Kentucky

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 First Kentucky Securities Corporation Louisville 13 5 C
2 Dupree & Company, Inc. Lexington 2 3 B
3 Lemley, Yarling & Co. Independence 2 2 B
4 Churchill Financial, LLC Louisville 1 2 B
5 Nancy Barron & Associates, Inc. Lexington 1 2 B
6 Private Client Services, LLC Louisville 1 276 B
7 Johnstone Brokerage Services, LLC Louisville 0 2 A
8 Retireone Investment Services, LLC Louisville 0 5 A

Inside Kentucky's Broker-Dealer Landscape

Kentucky has 8 actively registered broker-dealer firms in FINRA's public register, of which 2 (25.0%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 20 disclosures on BrokerCheck, averaging 2.5 per firm. Grade distribution across Kentucky's broker-dealers: 2 graded A, 5 graded B, 1 graded C, 0 graded D, and 0 graded F. That means 25.0% of graded firms hold an A and 0.0% fall into the D or F bands.

Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations, large multistate firms headquartered in Kentucky will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Kentucky advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

Frequently asked questions

How many broker-dealer firms are registered in Kentucky?
Kentucky has 8 actively registered broker-dealer firms on FINRA BrokerCheck, of which 2 (25.0%) hold a clean Grade-A record with no reportable disclosures.
Which Kentucky broker-dealer has the most FINRA disclosures?
Among firms registered in Kentucky, First Kentucky Securities Corporation carries the most reported BrokerCheck disclosures (13 across 5 branch offices). Disclosure totals reflect reported events, not proven violations, larger firms naturally carry more. Always review the specific records on FINRA BrokerCheck.
How are PlainAdvisorCheck safety grades calculated?
Grades are size-normalized: a firm's weighted disclosure load is divided by its branch-office footprint, then ranked within its size class. Firms with zero disclosures earn an A regardless of size. Grades are editorial signals, not FINRA ratings. See our methodology for the exact formula.
Is this official Kentucky broker data?
Yes. All firm records come from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD) - the official public registries for U.S. broker-dealers. PlainAdvisorCheck aggregates and size-normalizes them; the underlying records are public domain.
All Kentucky Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Related

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on SEC/FINRA regulatory filing data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.