First Western Securities, Inc.
- Regulatory AUM
- $41.7M
- Discretionary
- $39.1M
- Clients
- 28
- Avg AUM / client
- $1.5M
- Accounts
- 36
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 30, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 14 | $4.7M | 11.3% |
| High net worth individuals | 14 | $37.0M | 88.7% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Randal Earl Ferguson | Trustee | Mar 1987 (39y) | ≈ 56.25% – 100% via First Western Securities Voting Trust | |
| Bryan Craig Kilpatrick | Cfo/Fop | Sep 1988 (38y) | Less than 5% | |
| Jerry Dean Killion | Registered representative | Oct 2010 (16y) | ||
| Dan Edward Klein | Registered representative | Jul 2019 (7y) | ||
| Kerry Dean Wills | Registered representative | Feb 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| First Western Securities Voting Trust | Voting Trust | Jan 1999 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Randal Earl Ferguson: 75% – 100% of First Western Securities Voting Trust × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 09/30/2025 | 1.23 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FIRST WESTERN SECURITIES, INC. DID NOT MAINTAIN A WRITTEN SYSTEM FOR SUPERVISION OF THE ACTIVITIES OF ITS INVESTMENT ADVISOR REPRESENTATIVES. FORM U4S FOR THREE OF THEIR INVESTMENT ADVISOR REPRESENTATIVES, BRYAN CRAIG KILPATRICK, RODNEY LEE SKELTON AND DEBBIE KAY WALLACE WERE NOT FILED WITH THE SECURITIES COMMISSION FOR REGISTRATION OF THESE INDIVIDUALS. Status: Final Sanction Detail: BRYAN CRAIG KILPATRICK, RODNEY LEE SKELTON, DEBBIE KAY WALLACE, REPRIMANDED; ADMINISTRATIVE FEES ASSESSED AS FOLLOWS: BRYAN CRAIG KILPATRICK $500; RODNEY LEE SKELTON $4600; DEBBIE KAY WALLACE $1,900. KILPATRICK AND WALLACE CEASE AND DESIST FROM ACTING AS INVESTMENT ADVISOR REPRESENTATIVES IN TX UNTIL REGISTERED AS INVESTMENT ADVISOR REPRESENTATIVES OR ARE FULLY EXEMPT FROM SUCH REGISTRATION. FIRST WESTERN SECURITIES, INC. ASSESSED AN ADMINISTRATIVE FEE OF $8,000. THESE FEES WERE PAID ON JULY 23, 2007. Summary: BRYAN CRAIG KILPATRICK, RODNEY LEE SKELTON, DEBBIE KAY WALLACE, REPRIMANDED; ADMINISTRATIVE FEES ASSESSED AS FOLLOWS: BRYAN CRAIG KILPATRICK $500; RODNEY LEE SKELTON $4600; DEBBIE KAY WALLACE $1,900. KILPATRICK AND WALLACE CEASE AND DESIST FROM ACTING AS INVESTMENT ADVISOR REPRESENTATIVES IN TX UNTIL REGISTERED AS INVESTMENT ADVISOR REPRESENTATIVES OR ARE FULLY EXEMPT FROM SUCH REGISTRATION. FIRST WESTERN SECURITIES, INC. ASSESSED AN ADMINISTRATIVE FEE OF $8,000. THESE FEES WERE PAID ON JULY 23, 2007.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Sep 30, 2025.
View current Form ADV (SEC/IAPD) ↗