Private Client Services is pleased to provide the following disclosure information. Please click on the links to view/print the full disclosure information for each category:
Account and Firm Disclosures
PCS Customer Account Agreement
Customer Broker Dealer Account Disclosures
Customer Identification Program
PCS Client Relationship Summary (Form CRS)
Regulation Best Interest Disclosure
PCS Privacy Policy
PCS Business Continuity Plan
Securities Investor Protection Corporation Disclosure (SIPC)
Purchase Form Disclosures
Regulation Best Interest
Customer Broker Dealer Account Disclosures
PCS Client Relationship Summary (Form CRS)
Regulation Best Interest Disclosure
PCS Advisors Client Fee Schedule
Private Client Services Client Fee Schedule
ERISA and PTE 2020
Private Client Services ERISA Plan Disclosure (Section 408(b)(2)) Brokerage Services
Private Client Services ERISA Plan Disclosure (Section 408(b)(2)) Advisory Programs
Private Client Services ERISA Plan Disclosure (Section 408(b)(2)) Frequently Asked Questions
Private Client Services ERISA Plan Disclosure (Section 408(b)(2)) Important Information
PTE 2020 Rollover Disclosure
Form ADV and Advisory
PCS Client Relationship Summary (Form CRS)
Private Client Services Form ADV Part 1
Private Client Services Form ADV Part 2A
Private Client Services Form ADV Part 2A Appendix 1 – Wrap Fee Program Brochure
Private Client Services Client PP and AAA Fee Schedule 2019
Brokerage Account and Trading Disclosures
Private Client Services Client Fee Schedule
Pershing Corestone Fee Schedule
Order Routing Disclosure/Payments for Order Flow (SEC 606/607)
Private Client Services Stop Order Disclosure
Money Market Sweep Change-Tabular Comparison
Municipal Securities Rulemaking Board Disclosure (MSRB)
RFIM-Liquid Insured Deposits Terms & Conditions
Customer Concerns or Complaints – Private Client Services, LLC values your business and feedback. You may direct any questions, concerns, or complaints about your account(s) to: Private Client Services Compliance Department, 2225 Lexington Rd, Louisville, KY 40206, Phone: (502)-451-0600