PH
Patrick C. Homan
PRIVATE CLIENT SERVICES
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 2064661
PH
Professional summary
Patrick Charles Homan, who also goes by Patrick C Homan, is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Charlotte, North Carolina.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Patrick has worked at 18 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 14, Series 24, Series 4 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick C Homan
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) - RIA
Click below to view Patrick Charles Homan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Charles Homan'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
January 24, 2022 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 7755 Ballantyne Commons Suite 101, Charlotte, NC 28277RIA
BD
CRD#: 120222
Charlotte, NC
Current
January 24, 2022 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 7755 Ballantyne Commons Suite 101, Charlotte, NC 28277RIA
BD
CRD#: 120222
Charlotte, NC
Past
April 1, 2021 - January 24, 2022
THE AMERIFLEX GROUP
RIA
CRD#: 305585
WAXHAW, NC
Past
December 15, 2020 - January 25, 2022
OSAIC SERVICES, INC.
BD
CRD#: 133763
LAS VEGAS, NV
Past
April 21, 2017 - October 28, 2020
FORTIGENT, LLC
RIA
CRD#: 138164
FORT MILL, SC
Past
August 13, 2012 - November 30, 2012
VERITAT ADVISORS
RIA
CRD#: 147947
CHARLOTTE, NC
Past
August 7, 2012 - October 1, 2013
NESTWISE LLC
RIA
CRD#: 164466
CHARLOTTE, NC
Past
May 29, 2012 - April 13, 2017
FORTIGENT, LLC
RIA
CRD#: 138164
FORT MILL, SC
Past
March 12, 2012 - April 25, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
August 9, 2011 - October 28, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
August 8, 2011 - August 2, 2012
CONCORD EQUITY GROUP ADVISORS, LLC
RIA
CRD#: 143315
CHARLOTTE, NC
Past
February 15, 2011 - December 27, 2016
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
Fort Mill, SC
Past
January 21, 2011 - November 11, 2011
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
January 23, 2008 - October 28, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 22, 2005 - August 3, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
CHARLOTTE, NC
Past
August 22, 2005 - December 22, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
April 7, 2004 - April 8, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
CHARLOTTE, NC
Past
April 7, 2004 - April 8, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
August 28, 2001 - March 8, 2004
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CHARLOTTE, NC
Past
July 10, 1997 - March 30, 1998
BB&T INVESTMENT SERVICES OF SOUTH CAROLINA, INC.
BD
CRD#: 36257
Past
June 25, 1997 - March 8, 2004
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CHARLOTTE, NC
Past
May 29, 1996 - June 23, 1997
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
November 6, 1995 - March 19, 1996
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
October 13, 1995 - November 10, 1995
MARION BASS SECURITIES CORPORATION
BD
CRD#: 7961
CHARLOTTE, NC
Past
July 31, 1993 - July 25, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 28, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
IAR
North Carolina(1/24/2022)
RR
North Carolina(1/25/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
