Compliance and Risk Management

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.