Kayla has more than 7 years of experience as a Commissions Specialist with PCS. Prior to joining the Firm, she held several positions with Asset Campus Housing where she worked for 3 years. Kayla attended Western Kentucky University.
Jeremy serves as a Compliance Surveillance Officer for PCS. He has over 23 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.
Leslie serves as the Senior Advisory Operations Specialist, preparing and processing advisory billing and reporting. She has more than 20 years of experience in the financial services industry, of which 18 years have been spent with National Planning Holdings, an independent Broker-Dealer, specializing in Advisory Operations. She holds FINRA Series 7, 24 and 66 licenses.
Nicki serves as a Senior Operations Specialist and has more than 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.
Melissa serves as a Senior Transition Manager and Transition Project Lead working with Onboarding to integrate new advisors by transitioning and training on operational functions. She has spent almost 40 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 Senior 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, 63 and 66 licenses.
Matt serves as the Back-Office Coordinator and has 20 years of experience in the financial services industry. Prior to joining PCS, Matt worked for National Planning Holdings as the Commissions Customer Service Manager. Matt graduated from the University of Wisconsin—Green Bay with a Bachelor of Business Administration with a Finance concentration.
Bob serves as the Firm’s Branch Examiner, conducting branch inspections and working with the Compliance Department and advisors to meet FINRA branch exam requirements. Bob has more than 32 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 BBA 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.
Karla serves as a Managing Principal with PCS. She has been in the financial services industry for more than 20 years with experience in sales supervision, brokerage, advisory, operations, and firm-wide training. Karla performed these roles over her career with an OSJ, Securities America/Osaic and TD Ameritrade. She graduated from the University of Nebraska at Omaha with a Bachelor of Arts degree and holds the FINRA Series 7, 63, 66, 4 and 24 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.
Tim serves as the Chief Financial Officer (CFO) for PCS and has more than 23 years of experience. As the CFO he plays a pivotal role in shaping financial strategy and driving the Firm’s growth, overseeing all financial aspects of the organization. Tim holds an MBA from Indiana University, Bloomington, and a Master of Business Taxation from the University of Southern California. A certified CPA in North and South Carolina, he also holds AICPA credentials.
Patricia serves as the Firm’s Senior Director of Human Resources. She has broad HR experience to include payroll, benefits, talent acquisition, performance management and associate relations. She has more than 24 years of HR experience 12 of which were working within the financial services industry. Patricia graduated from the University of New Orleans with a Bachelor of Arts degree in Sociology and has her SHRM CP designation.
As President of Private Client Services, Tim oversees all aspects of the company’s operations, ensuring strategic direction and alignment with its objectives. He is responsible for cultivating and maintaining strong relationships, facilitating growth, and setting firm strategic objectives. Tim has more than 25 years of industry experience, at both large independent broker/dealers and RIA’s. He has a Bachelor of Science degree in Business Management from Keene State College and holds FINRA Series 7, 24 and 66 licenses.
Ted serves as a Managing Principal for PCS. He has more than 25 years of experience in the financial services industry, including Broker-Dealer and Advisory Operations, Compliance and Trading roles. Ted received an Associates of Science degree in Business Administration from Naugatuck Valley CTC, and a Bachelor of Science degree in Finance from Post University. He holds his FINRA Series 7, 24, 66 and 99 licenses.
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 27 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.
Matthew serves as the Director of Advisory Operations for PCS overseeing most aspects of our PCS Investment Advisory business and technology tech stack. 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 holds his FINRA Series 7 license.
Steve is responsible for corporate business development, brand strategy, and marketing. He also serves as President of KFG Enterprises, PCS’ parent company. Steve 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 graduated with honors from the University of Kentucky where he received his Bachelor of Business Administration.
Connor serves as Business Development Manager and has six years of experience in the financial services industry. Prior to joining PCS, Connor was at Access Wealth in Louisville, Kentucky. He also spent four years in Los Angeles, California with AIG Financial Distributors, providing retirement solutions to independent financial advisors in Southern California and the Pacific Northwest Region. He graduated from the University of Kentucky and holds the FINRA Series 6 and 63 licenses.
Patrick serves as a Compliance Surveillance Officer with PCS. He has almost 30 years of experience in the retail brokerage industry, which includes 15 years at LPL Financial where he served as a Registrations and Licensing Manager. In previous roles, he has served as a Chief Compliance Officer, Supervisory Principal, and Trader. Patrick graduated from the University of Northern Iowa with a bachelor’s degree in Economics. He holds Series 4, 7, 24, 53, and 66 registrations.
Mary serves as the Director of Business Transitions and oversees the onboarding and transition team that facilitates new advisor affiliation. Mary has over 30 years industry experience in operations and onboarding. Prior to joining PCS, Mary led the Onboarding team at LPL Financial and has worked at Morgan Stanley and Phoenix Equity Planning Corp. She earned her Bachelor of Arts degree from California State University, Long Beach and holds her FINRA Series 7 & 63 licenses.
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 and 63 licenses.
Shana serves as the Director of Operations and Account Services, coordinating and training advisors on Operational procedures. She has over 24 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.
Danielle Lanham joined PCS as a Front Office Assistant with more than 20 years of professional work experience. Her extensive background enables her to provide exceptional support and service ensuring the smooth operations and a welcoming atmosphere to all clients and visitors. Danielle’s dedication to excellence and her passion for helping others makes her an invaluable member of our team.
As part of the Business Transitions team, Shari serves as the Insurance Licensing Coordinator concentrating primarily on state insurance licensing and insurance appointments. She has 11 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.
Paris joined Private Client Services as a Compliance Support Specialist. She has worked within the financial services industry for 3 years and has 4 years of experience in compliance. She graduated from the University of Kentucky with a Bachelor of Arts in Health, Society and Populations.
Peter serves the Firm in both legal counsel and compliance roles as the Senior Legal & Compliance Officer. He previously held positions as corporate counsel with Hilliard Lyons and R.W. Baird & Co. 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 holds the FINRA Series 7, 24, and 66 licenses, and he is a member of the Kentucky Bar Association.
Beth serves as a Managing Principal with PCS. She has been in the financial industry and a licensed principal for over 20 years in roles ranging from Sales Supervision Principal, Registered Assistant and Operations Specialist. She holds FINRA Series 7, 24, 63 and 65 licenses.
Steve serves as the Chief Operating Officer. He has more than 28 years of industry experience and is responsible for all aspects of PCS Operations as well as Risk and Supervision of PCS advisors. He and his teams support PCS advisors and the needs of their clients, focused on best-in-class services, technology and driving efficiencies throughout the firm. Prior to joining PCS, Steve worked for Apollon Wealth Management where he held CCO and COO roles. He 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 FINRA Series 7, 9/10, 31, 63 and 65 licenses.
Nick serves as the Firm’s Senior Director of Operations. He has more than 16 years of experience in the financial services industry with a background in Operations, Trading, AML, Compliance, Client Services and Technology. He joined PCS from Bank of America and is a Certified Scrum Product Owner (CSPO). He also holds the FINRA Series 7, 63, 24 and 4 licenses.
Alex serves as a Compliance Support Specialist with Private Client Services. Prior to joining PCS, she worked in the mortgage processing and credit analysis division of a credit card processing company. Alex graduated from the University of Tennessee with a Bachelor of Arts degree in Political Science.
Kim serves as Director of Business Development & Onboarding for PCS. She has spent more than 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.
Todd serves as the Senior Director of Risk and Compliance. He has more than 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. He graduated from Bellarmine University with a Bachelor of Business Administration and Master of Business Administration degrees. Todd holds the FINRA Series 7, 24, and 66 licenses as well as the Certified Internal Auditor (CIA) and Certified Anti-Money Laundering Specialist (CAMS) designations.
Adam serves as the IT Systems Administrator, where he acts as the primary technical resource, addressing the daily technology requirements of the firm. With nearly 23 years of experience in IT, Adam has educated numerous clients and colleagues, enhancing their ability to support their teams and customers. He is deeply committed to teaching and serving others. Prior to joining PCS, he was a regional IT Systems Administrator for a nationwide landscaping firm. Adam graduated with honors from Remington College, earning a Bachelor of Science degree in Electronic Engineering, and holds certifications as a Red Hat Linux Systems Administrator and Customer Support Professional.
Janette is a Transition Manager for PCS. She has more than 37 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.
Terri is an Operations Support Specialist with PCS and has more than 10 years of financial services industry experience in a variety of roles with broker-dealers and registered investment advisory firms. Prior to transitioning in to the financial services industry Terri worked as both an EMT, EMT instructor and a certified CPR instructor for the KY Board of Emergency Medical Services.
Patti provides service and support to PCS’ registered representatives and investment advisory representatives. She has over 25 years of operational experience in the financial services industry. Prior to joining PCS, Patti worked with Money Concepts. She currently serves as an Senior Operations Specialist.
Ernest purchased Kentucky Financial Group in 1990. In 2002, he started Private Client Services, LLC for his maturing organization which required an advisory platform. In 2009, approval was granted, by FINRA, to Private Client Services, LLC to conduct business as a member firm in the securities industry. He has served on the boards of several civic and professional organizations and his peers have elected him to serve as president of several industry organizations.
Payton serves as a Senior Operations Associate. Prior to joining PCS, she worked with TIAA as a Senior Customer Advocate. She received a degree in Business Administration from North Carolina State University and currently holds her SIE, Series 6, 7, 24, and 63 as well as State Life and Health insurance 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 included roles in Processing, Support, and Management.
Leah serves as the Director of Advisor Technology Solutions for PCS. She has more than 20 years of experience leading technology integrations, onboarding and back-office functions for broker-dealers and RIAs. Her expertise includes relationship management, leading onboarding and training; evaluation and implementing advanced technology applications and systems (including CRM and data aggregation) and designing processes to enable efficient business operations. Leah graduated from the University of North Texas with a BBA in Marketing.
LaDesia serves as an Operations Specialist with Private Client Services. She has worked within the financial services industry for more than 4 years. Prior to joining PCS, LaDesia worked for Wells Fargo Advisors as a Client Services Associate.
John serves as the Chief Compliance Officer and has more than 30 years in the financial services industry. 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. He graduated from the University of Cincinnati, with a Bachelor degree in Finance and Management and currently holds his FINRA Series 7, 24, 4, 52, 53, and 99 registrations.
Jane serves as the Senior Director of Supervision with PCS. She has been in the financial services industry for more than 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 serves as the Director of Operations working closely with the Operations team to provide quality and timely service. She has more than 30 years of experience in the financial services industry starting as mutual fund accountant for a mutual fund company to working with National Planning Holdings network of Independent Broker/Dealers in various roles. Kelly graduated from the University of Wisconsin-Oshkosh with a Bachelor of Business Administration in Finance and holds FINRA Series 7, 24 and 63 licenses.
Mary has served PCS in a variety of roles, including Chief Operations Officer, and is currently the Chief Administrative Officer. She has spent more than 30 years in the financial services industry in areas including insurance marketing, registrations, structured settlements, compliance, business transitions and operations. Mary currently holds FINRA Series 6, 7, 24 and 63 registrations as well as life and health insurance licenses in multiple states.
Lindsey serves as the Registration & Licensing Coordinator. She has spent over 22 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 with SII Investments, Inc.