Facts WHAT DOES FIRST KENTUCKY SECURITIES DO WITH YOUR PERSONAL INFORMATION?
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What? The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Social Security number and income
  • Assets and investment experience
  • Account balance and transaction history

When you are no longer our customer, we continue to share your information as described in this notice.
How? All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons First Kentucky Securities chooses to share; and whether you can limit this sharing.
Reasons we can share your personal information Does First Kentucky Securities Corp Share? Can you limit this sharing? Does First Kentucky Securities Corp Share? Can you limit this sharing?
For our everyday business purposes — such as to process your transactions, maintain your account(s), responding to court orders and legal investigations, or reporting to credit bureaus Yes No
For our marketing purposes — to offer our products and services to you Yes No
For joint marketing with other financial companies No We don’t share
For our affiliates’ everyday business purposes — information about your transactions and experiences No We don’t share
For our affiliates to market to you No We don’t share
For our affiliates’ everyday business purposes — information about your creditworthiness No We don’t share
For our nonaffiliates to market to you No We don’t share
To limit our sharing Call 1-877-890-7288 and speak with your advisor informing them that you would like to opt out of this.

Please note: If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share information about you as described in this notice.

However, you can contact us any time to limit our sharing.
Questions? Call 1-877-890-7288 or email anicholson@firstky.com

Who we are
Who is providing this notice? First Kentucky Securities Corporation

What we do
How does First Kentucky Securities Corporation protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secure files and buildings.
How does First Kentucky Securities collect my personal information? We collect your personal information, for example, when you

  • open an account or seek advice about your investments
  • buy or sell securities or make deposits/or withdrawals
  • enter into an investment advisory contract
Why can’t I limit all sharing? Federal law gives you the right to limit only

  • sharing for affiliates’ everyday business purposes–information about your creditworthiness
  • affiliates from using your information to market to you
  • sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.
What happens when I limit sharing an account I hold jointly with someone else? Your choices will apply individually – unless you tell us otherwise.
Definitions
Affiliates Companies related by common ownership or control. They can be financial and non-financial companies. Our affiliates include:
Nonaffiliates Companies not related by common ownership or control. They can be financial and non-financial companies.
Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
Other Important Information
First Kentucky Securities has entered into a Protocol for Broker Recruiting with certain other brokerage firms under which your First Kentucky Securities financial advisor may take your personal information — specifically, your name, address, telephone number, email address, and account title — in the event your financial advisor leaves First Kentucky Securities and joins one of the other member brokerage firms.

For California Residents: We will not share information we collect about you with nonaffiliated third parties, except as permitted by California law, such as to process your transactions or to maintain your account.

Last Updated 5/26