State BrokerCheck inventory · July 2026

Kentucky broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Kentucky ranks #34 of 56 by registered-firm inventory (8) and #35 of 56 by aggregate disclosure load (20). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#34
of 56 by firm inventory
8
registered firms
20
disclosures on file
2
Grade-A clean record

Kentucky at a glance

According to FINRA BrokerCheck as of July 2026, Kentucky ranks #34 of 56 by registered-firm inventory (8) and #35 of 56 by aggregate disclosure load (20). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#34 of 56
registered-firm inventory
#35 of 56
aggregate disclosure load
20
total disclosures statewide
2
with a clean record (Grade A)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Firm-size mix among 8 graded firms

FINRA BrokerCheck size classes in Kentucky. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

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

#FirmDisclosuresOfficesGrade
1First Kentucky Securities CorporationLouisville135C
2Dupree & Company, Inc.Lexington23B
3Lemley, Yarling & Co.Independence22B
4Churchill Financial, LLCLouisville12B
5Nancy Barron & Associates, Inc.Lexington12B
6Private Client Services, LLCLouisville1276B
7Johnstone Brokerage Services, LLCLouisville02A
8Retireone Investment Services, LLCLouisville05A

Mid-pack BrokerCheck profile

What BrokerCheck shows for Kentucky

Kentucky registers 8 firms with 20 disclosures as of July 2026.

According to FINRA BrokerCheck as of July 2026, Kentucky ranks #34 of 56 by registered-firm inventory (8) and #35 of 56 by aggregate disclosure load (20). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Graded inventory: 2 A / 5 B / 1 C / 0 D / 0 F (25.0% clean, 0.0% D or F). Largest disclosure count in-state: First Kentucky Securities Corporation (13 events, Grade C).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations . This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does Kentucky sit among states by BrokerCheck disclosure load?
According to FINRA BrokerCheck as of July 2026, Kentucky ranks #34 of 56 by registered-firm inventory (8) and #35 of 56 by aggregate disclosure load (20). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Aggregate disclosure load is not a judgment of the state's regulators or of any individual firm.
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?
First Kentucky Securities Corporation leads Kentucky's listing with 13 BrokerCheck disclosures across 5 offices (Grade C). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Kentucky's safety grades?
Grades for Kentucky firms are size-normalized: weighted disclosure load ÷ branch footprint, ranked within size class. Zero-disclosure firms earn A. Editorial signals, not FINRA ratings - see methodology.
Is this official Kentucky broker data?
Yes. Kentucky's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.
All Kentucky Firms → All States →

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

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for Kentucky. Kentucky ranks #34 by firm inventory and #35 by disclosure load in the PlainAdvisorCheck extract as of July 2026.