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

This department focuses on providing guidance and operational support related to compliance and advisory functions.

Advisory Services

The Operations Team at Private Client Services (PCS) ensures seamless execution and management of day-to-day activities, including onboarding new advisors, managing commissions, supporting transitions, and providing continuous operational support. They streamline processes and act as the backbone of the organization, guaranteeing that the RIA's/IAR's have the resources and support to grow and manage their businesses effectively.

Operations Team

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

The Leadership Team at Private Client Services (PCS) is responsible for setting the strategic direction of the company, ensuring operational efficiency, and maintaining regulatory compliance. Comprising senior executives such as the CEO, COO, CFO, and other principals, the team works collaboratively to drive growth, foster advisor independence, and uphold the highest standards of service excellence across PCS's nationwide network.

Leadership Team

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

The Financial and Operations Team at Private Client Services (PCS), Member FINRA, SIPC, oversees the financial integrity and operational efficiency of the firm. This team handles regulatory compliance, manages financial reporting, supports the needs of financial advisors, and ensures seamless operational processes across all branch offices. Their goal is to facilitate the growth and profitability of independent advisors by mitigating financial risks and optimizing operational workflows.

Financial And Operations Team

The Business Development and Licensing team at Private Client Services (PCS) focuses on expanding the firm's network through strategic onboarding and seamless integration of hybrid RIAs/IARs. The team manages advisor recruitment, ensures compliance with licensing requirements, and facilitates smooth business transitions, all while providing cutting-edge technological solutions to enhance advisor productivity and client service.

People (0)

Jobs (0)

Other teams

Operations Team

Management Team

Leadership Team

Compliance and Risk Management

Financial And Operations Team

Business Development and Licensing