Kayla is a Commission Specialist for PCS. Prior to joining PCS, she worked for Asset Campus Housing for 3 years. She served as a property manager of various properties in various states. Kayla attended Western Kentucky University.
Branch Administrative Assistant
Whitney is our Branch Administrative Assistant and has two years of experience in the financial services industry. She worked at UBS Financial Services in Palm Beach, FL and with Cardinal Point Financial prior to joining PCS. She attended Palm Beach State College and has an Associate’s Degree in Paralegal Studies.
Compliance Surveillance Officer
Jeremy serves as a Compliance Surveillance Officer for PCS. He has over 20 years in the financial services industry in roles encompassing Advertising Review, AML, Surveillance, general Compliance, and Compliance leadership. He graduated from the University of Wisconsin-Steven Point with a Bachelor of Science. Jeremy currently holds the Series 6, 7, 24, 63 and 66 registrations.
Advisory Operations Specialist
Leslie serves as the Advisory Operations Specialist, preparing and processing Advisory billing and reporting. She has nearly 20 years of experience in the financial services industry, of which 18 years have been spent with the National Planning Holdings Independent Broker/Dealer specializing in Advisory Operations. She holds FINRA Series 7, 24 and 66 licenses.
Sr. Operations Specialist
Nicki serves as an Sr. Operations Specialist and has 15 years of experience in the financial services industry. Prior to joining PCS, Nicki served as a Brokerage New Accounts Services Representative for SII Investments, Inc.
Becca serves as an Operations Specialist. She has 5 years of experience in the financial services industry. Prior to joining PCS Becca served as an account maintenance representative at SII Investments.
Kate serves as Surveillance Analyst for PCS, mainly assuring compliance of electronic communications including email, text messaging, and social media. This is Kate’s first position within the financial industry. She came to PCS after obtaining her Master of Business Administration in 2017.
Executive Director – Finance and Risk
Joe serves as Executive Director – Finance and Risk. He joins PCS after a 27-year career at Hilliard Lyons where he served as an Executive Vice President. His experience includes brokerage and trust operations, finance, compliance and regulatory, information technology, underwriting and trading, and advisory account solutions. He holds his Series 7, 27, 28, and 66 licenses. Joe is a CPA and graduate of Bellarmine University with a Bachelor of Arts in Accounting.
Shayne serves as Managing Principal. He has over 20 years of experience in the financial services industry in areas including BSA/AML Compliance, Operations, Trade Review, and Supervision. Prior to joining PCS, Shayne served as a Home Office Principal and AML Officer for Securities Service Network, LLC. He graduated from Fountainhead College of Technology with a degree in Information Technology and currently holds the FINRA series 7, 24, and 63 licenses, as well as the Certified Anti-Money Laundering Specialist (CAMS) designation.
Melissa serves as a Transition Manager and Transition Project Lead within the Operations Department assisting newly affiliated advisors transitioning & processing their accounts. She has spent over 30 years in the investment industry in areas including institutional trade settlements, data management, and client services. Prior to joining PCS, Melissa worked at National Asset Management (formerly with National City Trust) which merged with Invesco and then with Integrity Asset Management. After the merger, she worked for Stegner Investment Associates.
Cassondra serves as a Managing Principal. She joined PCS from Hilliard Lyons, a regional Broker/Dealer where she was a Vice President, Senior Compliance Analyst. Cassondra has over 20 years of experience in the financial services industry in areas including Compliance, Trading, and Operations. Cassondra received a Bachelor of Science degree in Accounting from the University of Kentucky and a Master of Business Administration degree from Indiana University Southeast. She holds FINRA Series 4, 7, 24, 53, 55, and 63 licenses.
Registration & Licensing Coordinator
Lindsey serves as the Registration & Licensing Coordinator. She has spent over 17 years in the financial services industry in areas including Sales Supervision, Compliance and Registration & Licensing. Prior to joining PCS, Lindsey served as a Senior Registration Associate at SII Investments, Inc.
Back Office Systems Coordinator
Matt is the Back-Office Systems Coordinator. Prior to joining PCS, Matt worked for National Planning Holdings for over 12 years as the Commissions Customer Service Manager. Matt graduated from the University of Wisconsin – Green Bay with a Bachelor of Business Administration with a Finance emphasis.
Bob serves as a Branch Examiner, conducting branch inspections and working with the Compliance Department and advisors to meet the annual branch exam requirements. Bob has more than 25 years of industry experience at both large independent Broker-Dealers/RIAs and he also worked for the FINRA District office in Kansas City. Bob joined PCS most recently from LPL Financial. He has a bachelor’s degree in Business from the University of Kansas and a Master of Finance from the University of Missouri-Kansas City. He holds the FINRA Series 6, 7, 24, and 63 licenses.
Debbie serves as an Onboarding Coordinator. She has spent nearly 26 years in the financial services industry in areas that include account receivable, IRA’s, account transfers, broker services/call center/switchboard. Prior to joining PCS Debbie served as a Vice President of Operations for Hilliard Lyons. She currently holds her Series 99.
Human Resources Director
Patricia serves as the Firm’s Human Resources Director. She has broad HR experience to include payroll, benefits, talent acquisition, performance management and associate relations. She has more than 20 years of HR experience 12 of which were working within the financial services industry. Patricia graduated from the University of New Orleans with a BA in Sociology and has her SHRM CP designation.
Chief Operations Officer
Tim serves as Chief Operations Officer (COO). Tim’s responsibilities include overseeing all facets of the operations organization now located in both the Louisville / Appleton Home Office and Operations and Service Center locations. Tim has over 20 years of industry experience, at both large independent Broker/Dealers and RIA’s. Tim has a Bachelor of Science degree in Business Management from Keene State College and holds FINRA series 7, 24 & 66.
Director of Field Compensation
Kathy serves as the Director of Field Compensation, ensuring commissions and fees are processed accurately and timely, while providing quality service to our Advisors. She has 22 years of experience in the financial services industry. Prior to joining PCS, Kathy served as AVP of Commissions for four independent Broker/Dealers that were part of the National Planning Holdings network. She currently holds her Series 99.
Director of Advisory Operations and Technology
Matthew serves as the Director of Advisory Operations and Technology for PCS overseeing most aspects of our PCS Investment Advisory business and technology infrastructure. Over the course of almost 20 years in Financial Services, he has led teams in Technology, Onboarding, Service and Operations. Prior to joining PCS, Matthew spent 13 years with LPL Financial. He attended the University of North Carolina at Charlotte and currently holds his FINRA Series 7 license.
Chief Development Officer
Steve is responsible for corporate business development, brand strategy, and marketing. He has served in several executive leadership capacities including CEO & President of Greater Louisville Inc, The Metro Chamber of Commerce, led global communications at Papa John’s Int’l, and was a Partner of Faulkner Real Estate, a commercial and medical office developer. He is a Director for Citizens Union Bank; a community bank based in Shelbyville, KY, and has also served on the Greater Louisville Sport’s Commission’s board of directors since 1998 including four years as Chairman. Steve graduated with honors from the University of Kentucky, where he received his Bachelor of Business Administration.
Finance Department Manager
Kim has spent over thirty years working in the financial services industry in areas including Customer Service, Small Business Banking, and Mortgage Warehousing. Prior to joining PCS, she worked with PNC Bank. Kim attended Penn Foster College.
Director of Training & Strategic Operations
Lorna serves as Director of Training and Strategic Operations, overseeing the design, development, and deployment of training platforms, as well as performing tactical and strategic projects. She has over 30 years of experience in training and education, of which nearly 20 years have been spent in the financial services industry. Lorna previously worked in the rep field and the back office for National Planning Holdings’ independent Broker/Dealers specializing in trading, operations, and administration. Lorna holds FINRA Series 7, 24, and 66 licenses.
Carole serves as Operations Specialist. She has over 15 years in the financial services industry in areas including branch office administration, back-office processing/operations, with a strong background in customer service. Prior to joining PCS, Carole was employed as a New Accounts Service Representative with SII Investments. Previous financial services experience from employment with Thrivent Financial & Edward Jones.
Financial & Operations Principal
Julia serves as the Financial and Operations Principal. She has over 25 years of experience in the financial services industry in operations, finance & regulatory roles. Prior to joining PCS, she served as the Financial and Regulatory Reporting Manager at Hilliard Lyons. Julia has a Bachelor of Science in Business Administration from the University of Louisville and holds her FINRA Series 7, 27, 28, and 63.
Director of Operations & Account Services
Shana serves as the Director of Operations and Account Services, coordinating and training advisors on Operational procedures. She has over 20 years of experience in the financial services industry, which includes several years at F&M Trust Company and 18 years with the National Planning Holdings independent Broker/Dealer specializing in Brokerage Operations. Shana received a Bachelor of Science degree from the University of Wisconsin Madison with a double major in Economics and Behavioral Science & Law. She holds FINRA Series 7, 24, 65 and 63 licenses.
Julie serves as a Commissions Specialist, focusing on research, department procedures and special projects. She has over 30 years of commission experience in the financial services industry. Prior to joining PCS, Julie served as Director of Commissions for National Planning Holdings, a network of 4 Broker Dealers, where she oversaw the day-to-day processes of the department.
Insurance Licensing Coordinator
As part of the Licensing and Registration team, Shari serves as the Insurance Licensing Coordinator concentrating primarily on licensing and insurance appointments. She has eight years of experience in the back office of a Broker/Dealer, having previously worked at SII Investments and National Planning Holdings on the transition team.
Compliance Surveillance Officer
Jeremy serves as the Compliance Surveillance Officer for PCS. He has over 16 years in the financial services industry in roles ranging from broker, Assistant Branch Manager, ETF Analyst and Compliance. He graduated from Sullivan University with a Bachelor of Science in Business Administration and Indiana University Southeast with a Master of Science in Strategic Finance. Jeremy currently hold the Series 7, 24, 51, 63 and 65 registrations.
Compliance Surveillance Officer
Peter serves as a Compliance Surveillance Officer. He previously held compliance roles with Hilliard Lyons and R.W. Baird & Company. He graduated from the University of Arizona with a Bachelor of Arts Degree and earned his Juris Doctorate degree from the University of Louisville Brandeis School of Law. Peter, also, holds the FINRA Series 7, 24, and 66 registrations and is a member of the Kentucky Bar Association.
Executive Director of Investment Advisory Services
Steve is the Executive Director of Investment Advisory Services at PCS. In his role he is responsible for building strategic partnerships with best-in-class technology firms, custodians while developing a strategic roadmap to ensure financial success for our corporate and hybrid RIA partners. Prior to joining PCS, Steve worked for Apollon Wealth Management where he held CCO and COO roles helping the team grow from $350M in AUM to over $3B in under 3 years through organic and inorganic growth. Steve also held previous leadership roles with LPL Financial and Wells Fargo. He earned his Bachelor of Science degree from the University of North Carolina – Charlotte and holds the series 7, 9, 10, 63 and 65 licenses. Steve resides in Sullivan’s Island, SC.
Kim serves as the Onboarding Manager for PCS. She has spent nearly 30 years in the financial services industry in areas including agent licensing and appointing, commissions, structured settlement, institutional GICs and operations. Prior to joining PCS Kim served as an Operations Business Analyst for Hilliard Lyons. She currently holds her Series 99.
Director of Risk Management and Advisory Business
Todd serves as the Director of Risk Management and Advisory Business. He has over 20 years of financial services experience in areas including Operations, Advisory, Audit, AML, and Compliance. Prior to joining PCS, Todd served as the AML Compliance Officer for Hilliard Lyons. Todd graduated from Bellarmine University with a Bachelor of Business Administration and Master of Business Administration degrees. Todd holds the FINRA series 7 and Series 66 licenses and Certified Internal Auditor (CIA) and Certified Anti-Money Laundering Specialist (CAMS) designations.
Director of Client Relations
Kevin serves as Director of Client Relations for PCS, coordinating the onboarding process for newly affiliated hybrid advisors. He has over 20 years of experience in the retail brokerage business, which includes nearly 16 years at Scottrade Financial Services Inc. and has served as principal in several branch office locations. Kevin graduated from the University of Louisville with a Bachelor of Science in Mathematics. He holds FINRA Series 4, 7, 24, 52 and 63 licenses.
Diana serves as Managing Principal. She has over 14 years of industry experience, came to PCS from Hilliard Lyons, and has filled roles in sales supervision, trading and operations. Diana graduated from the University of Texas at San Antonio with a Bachelor’s in Finance. She currently holds series 7, 63, 65, 55 and 9/10 licenses.
Janette is a Transition Manager for PCS. She has more than 30 years of experience in the financial industry, with a background in operations. Prior to joining PCS, Janette was the Site-Coordinator for a local branch office of MetLife.
Operations Support Specialist
Terri is an Operations Specialist, primarily handling rep changes, suitability updates, and returned mail/lost shareholders processing. Terri has over 10 years of financial industry experience with both registered investment advisory firms and broker dealers. Prior to transitioning into financial services, Terri worked as an EMT instructor and certified CPR instructor for the Kentucky Board of Emergency Medical Services. She remains a certified Emergency Medical Technician and has worked in that field off and on for about 30 years.
Sr. Operations Specialist
Patti provides service and support to PCS’ registered representatives and investment advisory representatives. She has over fifteen years of operational experience in the financial services industry. Prior to joining PCS, Patti worked with Money Concepts. She currently serves as an Sr. Operations Specialist.
Chief Executive Officer
Ernest purchased Kentucky Financial Group in 1990. In 2002, he founded Private Client Services, LLC. He received the Chartered Financial Consultant designation from the American College in Bryn Mawr, PA. Additionally, he has received the CLU designation, is a CERTIFIED FINANCIAL PLANNER™ and has been recognized by the National Association of Estate Planners as an Accredited Estate Planner. Ernest has authored several articles for industry publications and been featured in a number of newspapers and magazines. He has served on the boards of several civic and professional organizations and his peers have elected him to serve as president for several industry organizations. Ernest is an avid golfer. He is a 25-year member at Valhalla Golf Club. He has interests in thoroughbred racing and breeding business.
Kelly serves as a Managing Principal. She has spent over 10 years in the financial services industry in areas including brokerage services and trading, legal and compliance and sales supervision. Prior to joining PCS, Kelly was a Sales Supervision Principal for SII Investments. Kelly has an Associate Degree in Business Administration from Rasmussen College. She holds FINRA Series 6, 7, 24, 63 and 65 licenses.
Lori serves as a Commissions Specialist, with over 10 years of experience in the industry. Prior to joining PCS, Lori held various positions within the Commissions Department of National Planning Holdings which include roles in Processing, Support, and Management.
Leah Shores Hunt
Director of Advisor Technology Solutions
Leah serves as a Business Development Officer for PCS. She has more than 20 years of experience leading operations and recruiting functions for financial securities firms. Her expertise includes: relationship management; leading recruitment, on-boarding and training; evaluation and implementing advanced technology applications and systems (including CRM and account management software) and designing processes to enable efficient firm operations and account management. Leah graduated from the University of North Texas with a BBA in Marketing.
Chief Compliance Officer
John is responsible for PCS’ Corporate Compliance program. He has spent over 28 years in the financial services industry in roles ranging from an individual producer, Compliance, Operations and Examiner. Prior to joining Private Client Services, he owned a successful Compliance Consulting company servicing compliance needs for large insurance affiliated Broker/Dealers, independent and captured sales force firms, as well as product distributors. John has held various positions including positions as Chief Compliance Officer and Chief Operations Officer. John graduated from the University of Cincinnati, with a Bachelor’s degree in Finance and Management and currently holds his Series 7, 24, 4, 52, 53, and 99 registrations.
Jane Vande Voort
Director, Field Supervision
Jane serves as the Director, Field Supervision with PCS. She has been in the financial industry for over 20 years with experience in advisory, outside RIA, brokerage and sales supervision with previous firms NPH/SII, Charles Schwab and Thrivent Financial. She holds FINRA Series 7, 66 and 24 licenses.
Kelly Vanden Brook
Director of Broker/Dealer Operations
Kelly serves as Director of Broker/Dealer Operations, which entails working with the Operations team to resolve escalated situations, assisting with the onboarding of new representatives and overseeing NetX360 entitlements. She has over 25 years of experience in the financial industry starting as a Mutual Fund Accountant for a mutual fund company to spending the past 21 years with National Planning Holdings independent Broker/Dealers in various roles ranging from Operations Specialist to Assistant Vice President of Operations. Kelly graduated from the University of Wisconsin-Oshkosh with a Bachelor of Business Administration in Finance. She holds FINRA Series 7, 24 and 63 licenses.
Chief Administrative Officer
Mary joined PCS from Hilliard Lyons, a regional Broker/Dealer where she served as Vice President of Compliance. She has spent more than twenty years in the financial services industry in areas including insurance marketing, structured settlements, compliance, and operations. Mary received her Bachelors of Business Administration degree at the University of Kentucky, with a concentration in Economics and Philosophy. She currently holds Series 6, 7, 24 and 63 registrations with FINRA as well as life and health insurance licenses.