Peter J. Williams

PRIVATE CLIENT SERVICES

Oakbrook Terrace, IL 60181

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CRD#: 1047041

Professional summary

Peter James Williams is a registered financial professional currently at PRIVATE CLIENT SERVICES, LLC located in Oakbrook Terrace, Illinois.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1982. Peter has worked at 3 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter James Williams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 16, 2010 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 1 S 450 Summit Ave Suite 130, Oakbrook Terrace, IL 60181

RIA

CRD#: 120222

Oakbrook Terrace, IL

Past

July 23, 2010 - December 22, 2016

PRIVATE CLIENT SERVICES, LLC

RIA

CRD#: 120222

Whippany, NJ

Past

August 1, 2008 - July 16, 2010

NATIONWIDE SECURITIES, LLC

CRD#: 11173

LINCOLN, NE

Past

June 4, 1982 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

KANSAS CITY, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222 / SEC#: 801-71475, 8-68183

RIA

Registered Investment Advisory firm - SEC (5/25/2010 Approved)

Delaware

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/4/2010 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (7/5/2018 Approved)

Ohio

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/9/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kansas
(7/16/2010)

Maine
(7/18/2016)

Missouri
(7/16/2010)

North Carolina
(10/4/2018)

Oklahoma
(3/16/2020)

Virginia
(6/28/2013)

Washington
(9/24/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/10/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 8/16/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/2/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222 / SEC#: 801-71475, 8-68183

RIA

Registered Investment Advisory firm - SEC (5/25/2010 Approved)

Delaware

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/4/2010 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (7/5/2018 Approved)

Ohio

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/9/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2225 Lexington Rd., Louisville, KY 40206

Mailing Address

2225 Lexington Rd., Louisville, KY 40206

Phone number

(502) 451-0600

Established

Kentucky since 02/05/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BROCHURE SUPPLEMENT FORM ADV2B STEVEN MILLS (3/21/2025)

FIRM BROCHURE 03/21/2025 (3/21/2025)

FIRM WRAP FEE BROCHURE 03/21/2025 (3/21/2025)

BROCHURE SUPPLEMENT FORM ADV 2B - EDWARD MARION (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
KFG ENTERPRISES, INC.	SHAREHOLDER
PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST	ESOP TRUST
GRAHAM, TIMOTHY DALEY	PRESIDENT	4461811
IRONSIDE, JULIA MEYER	FINOP	2441578
MILLS, STEVEN RICHARD	CHIEF OPERATIONS OFFICER	3133520
SAMPSON, ERNEST AUBREY	MANAGING MEMBER, ESOP TRUSTEE	2001651
TAYLOR-JONES, JOHN PHILIP	CHIEF COMPLIANCE OFFICER	2171620
WESCOTT, MARY ELIZABETH	CHIEF ADMINISTRATION OFFICER	4404797

Regulatory assets under management

Total Number of Accounts	3,271
AUM (Assets Under Management)	$ 1,051,273,980

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Peter J. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter James Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

NATIONWIDE SECURITIES, LLC

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

PRIVATE CLIENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/1982

SIE

Date: 10/1/2018

Series 22

Date: 8/16/1983

Series 6

Date: 6/2/1982

FINRA

Current Firm

PRIVATE CLIENT SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

PRIVATE CLIENT SERVICES, LLC

TRUST BUT VERIFY

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