PCS is a full-service, RIA-friendly Broker Dealer and SEC Registered Investment Advisor. We are growing by dually registering like-minded, hybrid RIA's/IAR's. We are solely focused on servicing the needs of successful, independent advisors and reps allowing you the time to grow your profits. Let our independence ignite yours!

PCS is licensed as a Broker Dealer in all 50 states. Our headquarters is in Louisville, KY. We have more than 70 branch offices coast-to-coast.

Banking

Insurance

Investment Management

Private Client Services (PCS), Member FINRA, SIPC

Private Client Services (PCS), Member FINRA, SIPC's headquarters in Louisville, KY, United States

Ernest Sampson

John Taylor-Jones

Cassondra Dunning

Tim Graham

Steven Mills

Mary Wescott

The Management Team at PCS is responsible for setting strategic goals, overseeing daily operations, and ensuring regulatory compliance to support the growth and success of independent advisors and representatives. Comprised of key executives, the team focuses on leadership, development, and financial performance to drive the company's expansion and enhance service offerings across its nationwide branch offices.

Management Team

This department manages and optimizes the day-to-day functions and processes within the organization.

Operations

This department focuses on evaluating branch operations and managing commission-related activities.

Branch and Commissions

This department manages the operations and processes related to brokerage services and representative activities.

Brokerage Operations

The Compliance and Risk Management team at Private Client Services (PCS) is responsible for ensuring that all regulatory and legal requirements are met across the firm's operations. This includes rigorous surveillance, examination of branch activities, and implementing policies to mitigate financial and operational risks. The team, led by the Chief Compliance Officer, works diligently to maintain ethical standards, safeguard client assets, and uphold the integrity of PCS as a licensed Broker Dealer and SEC Registered Investment Advisor.

Compliance and Risk Management

This department oversees the strategic direction and overall management of the organization.

Private Client Services (PCS), Member FINRA, SIPC

Org chart

Teams

Management Team

Operations

Branch and Commissions

Brokerage Operations

Compliance and Risk Management

Executive Leadership

Offices

Private Client Services (PCS), Member FINRA, SIPC

Org chart

Teams

Management Team

Operations

Branch and Commissions

Brokerage Operations

Compliance and Risk Management

Executive Leadership

Offices

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