JOINPCSBD.COM - Key Persons
Adam serves as an IT Support Specialist 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.
Job Titles:
- Managing Principal
- Managing Principal With PCS
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.
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.
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.
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.
Job Titles:
- Business Development Manager
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.
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.
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.
Job Titles:
- Business Development Officer
- Business Development Officer Consulting
Chris serves as a Business Development Officer consulting with advisors during their transition to independence. He has more than 25 years of experience in the financial services industry, including time as an Independent Advisor. Prior to joining PCS, Chris spent seven years with Janus Henderson Investors assisting advisors with portfolio construction and practice management. He graduated from the College of Charleston and holds the FINRA Series 7 and 63 licenses.
Job Titles:
- 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.
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.
Job Titles:
- 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.
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.
Job Titles:
- 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.
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.
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.
Job Titles:
- 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.
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.
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.
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.
Job Titles:
- 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.
Job Titles:
- Director of Business Development
- Director, Business Development & Onboarding
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.
Job Titles:
- Business Development Officer for PCS
- 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.
Job Titles:
- 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.
Job Titles:
- 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.
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.
Job Titles:
- Director of Training and 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.
Job Titles:
- Director of Business Transitions
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.
Job Titles:
- Chief Administrative Officer
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.
Job Titles:
- 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.
Job Titles:
- Director of Advisory Operations
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.
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.
Job Titles:
- Director of Trading & Operations
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).
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.
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.
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.
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.
Job Titles:
- Director of Operations and 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.
Job Titles:
- 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.
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.
Job Titles:
- PCS Chief Development Officer and President, KFG Enterprises, Inc.
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.
Job Titles:
- Executive Director of Investment Advisory Services
Steve is the Executive Director of Investment Advisory Services at PCS. He has over 25 years of industry experience and 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.
Job Titles:
- Operations Specialist
- 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.
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.
Job Titles:
- 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.