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

  • Account Definitions
  • Account Agreements
  • Account Registrations
  • Customer Identification Program
  • Client Relationship Summary (Form CRS)
  • Regulation Best Interest Disclosure
  • Privacy Policy
  • Business Continuity Plan
  • Retirement Plan Rollover Disclosure
  • Securities Investor Protection Corporation (SIPC)

 

Regulation Best Interest

  • Client Relationship Summary (Form CRS)
  • Regulation Best Interest Disclosure
  • Account Registrations
  • PP and AAA Fee Schedule
  • Client Fee Schedule

 

ERISA

  • ERISA 408b2 Brokerage Services
  • ERISA 408b2 Advisory Programs
  • ERISA 408b2 FAQ
  • ERISA Important Information

 

Form ADV and Advisory

  • Client Relationship Summary Form (CRS)
  • ADV Part 1
  • ADV Part 2A
  • ADV Part 2A Appendix 1 – Wrap Fee Program Brochure
  • PP and AAA Fee Schedule

 

Brokerage Account and Trading Disclosures

  • Client Fee Schedule
  • Pershing Corestone Fee Schedule
  • Order Routing Disclosure/Payments for Order Flow (SEC 606/607)
  • Stop Order Disclosure
  • Money Market Charge
  • MSRB
  • RFIM

 

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