CRD #120222 · FINRA BrokerCheck + SEC IAPD

Private Client Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Private Client Services, LLC ranks #4,600 of 20,055 by disclosure count (most disclosures first). Among firms registered in KY, it ranks #6 of 8 on the same disclosure sort used on the state browse page. Private Client Services, LLC carries 1 BrokerCheck disclosure across 276 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
276
branch offices
1
disclosure
#4,600 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 120222 Private Client Services, LLC

Private Client Services, LLC · Grade B · 1 disc · 0.00/office · Large firm

  • CRD 120222
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 276
  • PER-OFF 0.00
  • RANK #4,600 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: GWN Securities Inc. (0.00 disc/office)

GWN Securities Inc.0.00Bankers Life Securities…0.00MWA Financial Services …0.00Private Client Serv… (this)0.00
Disclosures per office among large firm peers (lower is cleaner)

Private Client Services, LLC ranks #4,600 of 20,055 by disclosure count among graded broker-dealers; light load at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

276 offices

FINRA: Large firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.00 per office

1 ÷ 276 offices

Private Client Services, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 99% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Private Client Services, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Louisville, KY
CRD Number
120222

Lower disclosures per office

Private Client Services, LLC in the heavier-disclosure third

Private Client Services, LLC carries 1 BrokerCheck disclosure across 276 branch offices - a heavier-third raw book among graded firms (#4,600 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

Private Client Services, LLC runs 0.00 disclosures per branch office (cleaner than 100% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Private Client Services, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Kentucky cohort · 0.40× state average

Private Client Services, LLC tracks near the Kentucky disclosure average

Private Client Services, LLC reports 1 BrokerCheck disclosure, about 0.40× the Kentucky average of 2.5 across 8 graded firms.

In Kentucky, 2 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Kentucky state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Private Client Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Private Client Services, LLC ranks #4,600 of 20,055 by disclosure count (most disclosures first). Among firms registered in KY, it ranks #6 of 8 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Private Client Services, LLC?
A grade of B reflects Private Client Services, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 1 total disclosure across 276 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Private Client Services, LLC have?
Private Client Services, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Private Client Services, LLC?
Private Client Services, LLC operates 276 branch offices and is classified by FINRA as a large firm, registered in KY (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Private Client Services, LLC's disciplinary record?
You can verify Private Client Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 120222. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Private Client Services, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Private Client Services, LLC carries 1 disclosure across 276 branch offices (about 0.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Private Client Services, LLC, both outside KY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • GWN Securities Inc. (FL) - 0.00 disclosures/office, nearest large firm peer to Private Client Services, LLC's 0.00
  • Bankers Life Securities, Inc. (IL) - 0.00 disclosures/office, nearest large firm peer to Private Client Services, LLC's 0.00
  • MWA Financial Services Inc. (IL) - 0.00 disclosures/office, nearest large firm peer to Private Client Services, LLC's 0.00
  • Firms in KY - state roster that includes Private Client Services, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Private Client Services, LLC.
  • Reading BrokerCheck Reports - How Private Client Services, LLC's 0.00 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Private Client Services, LLC.
  • Compare firms - put Private Client Services, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.