ES
Ernest A. Sampson
PRIVATE CLIENT SERVICES
Appleton, WI 54914
Some features on this profile are disabled
CRD#: 2001651
ES
Professional summary
Ernest Aubrey Sampson, who also goes by Ernest Aubrey Sampson III, Ernest Awbrey Sampson III, Ernie Sampson Iii, is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Appleton, Wisconsin.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Ernest has worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ernest Aubrey Sampson Iii | Ernest Awbrey Sampson Iii | Ernie Sampson Iii
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.
1)JEFFERSON CTY DEVELOPMENT LLC. 2)KENTUCKY FINANCIAL GROUP INC. 3)OFF BROADWAY LOFTS LLC. 4)CREATIVE BENEFITS LLC. 5)KFG ENTERPRISES INC. 6)President, The LYNDON & HELEN SCHMID CHARITABLE FOUNDATION, non-profit, 2 hrs/month during trading hrs. 7) ASPEN INVESTMENT COMPANY INC, CEO 5HRS/WK DURING TRADING HRS REAL ESTATE DEVELOPMENT/MRKG FIRM. 8) LICENSED WITH VARIOUS INSURANCE CARRIERS FOR THE SALE OF NON-SECURITIES BASED INSURANCE PRODUCTS. 9) CHAMPIONS FOR CHILDREN, INC. 5813 GLEN PARK RD, LOUISVILLE, KY 40222. PROVIDES CHARITABLE BENEFITS TO CHILDREN, SERVE ON BOARD OF DIRECTORS. START DATE OF 01/10/2012. NUMBER OF HOURS / MONTH: 1. EST ANNUAL EARNINGS: $0. 10) CARSON-SAMPSON RACING STABLE, LLC. 575 AVELINO ISLE CIRCLE, UNIT 26102, NAPLES, FL 34119. RACING AND BREEDING OF THOROUGHBRED HORSES. 50% OWNER. PRIMARILY RESEARCH OF HORSE PEDIGREES FOR BREEDING AND RACING OPPORTUNITIES, AND CO-BUSINESS MANAGER. 11) CROSSGATE LANE 1923 LLC. 40 GLEN EAGLE, ASPEN, CO. RENTAL OF SINGLE FAMILY REAL ESTATE PROPERTY BOUGHT FOR INVESTMENT PURPROSES. CO-MANAGER AND MEMBER WITH WIFE. EACHING HAVING 50% INTEREST. 0 HRS/MO;0 DURING TRADING HRS. 12) BILL AND PEGGY WAGGENER FAMILY FOUNDATION, LLC. 201 BERT COMBS LAKE ROAD, MANCHESTER, KY 40962. CHARTIES. DIRECTOR.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Aubrey Sampson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ernest Aubrey Sampson'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
November 6, 2001 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 4351 West College Ave Suite 420, Appleton, WI 54914Office #2: 2225 Lexington Road, Louisville, KY 40206Office #3: 2225 Lexington Road, Louisville, KY 40206Office #4: 2225 Lexington Rd, Louisville, KY 40206RIA
BD
CRD#: 120222
Appleton, WI
Current
November 5, 2009 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 4351 West College Ave Suite 420, Appleton, WI 54914Office #2: 2225 Lexington Rd., Louisville, KY 40206Office #3: 2225 Lexington Road, Louisville, KY 40206Office #4: 2225 Lexington Rd, Louisville, KY 40206RIA
BD
CRD#: 120222
Appleton, WI
Past
August 22, 2003 - May 13, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
LOUISVILLE, KY
Past
September 19, 1991 - September 3, 2003
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
LOUISVILLE, KY
Past
June 12, 1990 - September 3, 2003
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
December 21, 1989 - June 22, 1990
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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 | 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/15/2013)
RR
Alaska(2/27/2014)
RR
Arizona(2/27/2014)
RR
Arkansas(2/27/2014)
RR
California(2/6/2012)
IAR
Colorado(5/27/2010)
RR
Colorado(1/3/2011)
RR
Connecticut(2/27/2014)
RR
Delaware(2/27/2014)
RR
District of Columbia(2/27/2014)
RR
Florida(5/13/2010)
IAR
Florida(1/5/2011)
RR
Georgia(2/27/2014)
RR
Hawaii(2/27/2014)
RR
Idaho(2/27/2014)
RR
Illinois(1/3/2012)
IAR
Indiana(5/20/2002)
RR
Indiana(5/13/2010)
RR
Iowa(2/27/2014)
RR
Kansas(2/27/2014)
IAR
Kentucky(11/6/2001)
RR
Kentucky(5/13/2010)
RR
Maine(2/27/2014)
RR
Maryland(2/27/2014)
RR
Massachusetts(2/27/2014)
RR
Michigan(2/27/2014)
RR
Minnesota(2/27/2014)
RR
Mississippi(5/8/2023)
RR
Montana(2/27/2014)
RR
Nebraska(2/27/2014)
RR
Nevada(2/27/2014)
RR
New Hampshire(1/18/2012)
RR
New Jersey(2/27/2014)
RR
New Mexico(8/14/2012)
RR
New York(3/15/2011)
RR
North Carolina(7/19/2013)
RR
North Dakota(1/3/2011)
RR
Ohio(9/28/2012)
RR
Oregon(2/27/2014)
RR
Pennsylvania(2/27/2014)
RR
Rhode Island(2/27/2014)
RR
South Carolina(2/27/2014)
RR
South Dakota(2/22/2011)
RR
Tennessee(5/13/2010)
RR
Texas(3/8/2011)
IAR
Texas(3/8/2011)
RR
Utah(2/27/2014)
RR
Vermont(5/17/2011)
RR
Virgin Islands(8/4/2021)
RR
Virginia(2/27/2014)
RR
Washington(2/27/2014)
RR
West Virginia(2/27/2014)
RR
Wisconsin(2/27/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | 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.
