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.
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.
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.
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.
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.
Kelley serves on the Board of Directors and in Business Development. She has had a very successful career with extensive experience in the finance, real estate, medical and pharmaceutical fields. She’s been a voracious entrepreneur and has founded many companies including an international ladies fashion and ski wear company, a health and research firm specializing in clinical trials for physicians, and several real estate and commercial property businesses. Kelley is the founder and Executive Director of Champions for Children. She is very involved with many philanthropic endeavors.
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, 63 and 66 licenses.
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.
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.
Tim serves as President. 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.
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.
Matthew serves as the Director of Advisory Operations 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.
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 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.
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 operations team that facilitates new advisor affiliation. Mary Graduated with a Bachelor of Arts from California State University of Long Beach and has been in industry for over 25 years. Prior to joining PCS, Mary led the Onboarding team at LPL Financial. She holds her SIE, 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, 28, and 63.
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.
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.
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.
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.
Steve is the Chief Operating Officer. He has over 26 years of industry experience and is responsible for all aspects of the PCS Operations as well as Risk and Supervision of PCS advisors. He and his teams are focused on supporting 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 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, 31, 63 and 65 licenses.
Nick serves as the Firm’s Director of Trading & Operations. He has more than 14 years of experience in the financial services sector including roles in Trading, Operations, AML, Compliance, Customer Service and Technology. He most recently joined PCS from Bank of America and holds his FINRA series 7, 63, 24 and 4 licenses and is a Certified Scrum Owner (CSPO).
Kim serves as Director of Business Development & Onboarding 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.
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.
Adam serves as the IT Systems Administrator and PCS’s Technical Resource supporting the day-to-day technology needs of the Firm. He has nearly 20 years of IT experience, has trained many customers and co-workers alike to help them better support their teams and clients. Adam’s passion is to teach and serve and prior to joining PCS he was an IT Systems Administrator with a multi-state landscaping company. He graduated from Remington College with a BS in Electronic Engineering and is certified as a Red Hat Linux Systems Administrator and Customer Support Professional.
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.
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.
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.
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 an Operations Specialist. Prior to joining PCS, she worked with TIAA as a Sr. Customer Advocate. She received a degree in Business Administration from North Carolina State University and currently holds her SIE, Series 6, 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 include roles in Processing, Support, and Management.
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.
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 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 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.
Mary serves as Chief Administrative Officer. She 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.
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.