RG
Richard L. Ganter
PRIVATE CLIENT SERVICES
Miami, FL
Some features on this profile are disabled
CRD#: 1528266
RG
Professional summary
Richard Leo Ganter, who also goes by Richard L Ganter, Richard L. Ganter, is a registered financial professional currently at PRIVATE CLIENT SERVICES, LLC located in Miami, Florida.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard L Ganter | Richard L. Ganter
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Leo Ganter's 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®
NoneExperience
Current
May 7, 2026 - Present
PRIVATE CLIENT SERVICES, LLC
RIA
BD
CRD#: 120222
Miami, FL
Past
October 3, 2024 - January 13, 2026
BALANZ CAPITAL USA LLC
BD
CRD#: 325914
CORAL GABLES, FL
Past
June 17, 2019 - September 26, 2022
SNOWDEN ACCOUNT SERVICES LLC
BD
CRD#: 149794
Coral Gables, FL
Past
March 10, 2017 - June 19, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
August 1, 2016 - June 19, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
October 10, 2015 - August 1, 2016
VALLEY FINANCIAL MANAGEMENT, INC.
BD
CRD#: 105387
AVENTURA, FL
Past
May 16, 2013 - November 24, 2014
BBVA SECURITIES INC.
BD
CRD#: 27060
MIAMI, FL
Past
August 9, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
MIAMI, FL
Past
October 27, 2011 - July 10, 2012
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
WEST PALM BEACH, FL
Past
November 10, 2004 - December 2, 2009
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
PALM BEACH, FL
Past
February 11, 2002 - January 15, 2004
UST SECURITIES CORP.
BD
CRD#: 13906
STAMFORD, CT
Past
April 16, 1991 - January 11, 2002
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
November 17, 1989 - October 3, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 24, 1989 - June 22, 1989
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
December 9, 1988 - April 19, 1989
AMERIFIRST SECURITIES CORPORATION
BD
CRD#: 10711
Past
April 15, 1988 - June 2, 1988
CAL FED INVESTMENTS
BD
CRD#: 19631
Past
August 6, 1987 - April 19, 1988
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
Past
August 21, 1986 - May 20, 1987
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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".
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | UDELL ASSOCIATES, LLC | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
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)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Florida(5/7/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/7/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | UDELL ASSOCIATES, LLC | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
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)BD
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
60
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
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 | 1 |
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.
