Patrick Charles Homan
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Patrick C Homan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
33 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | UDELL ASSOCIATES, LLC | TWENTY FOUR WEALTH | THE WEALTH PLANNING COMPANY | 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
Contact Information
Main Address
2225 Lexington Rd., Louisville, KY 40206Mailing Address
2225 Lexington Rd., Louisville, KY 40206Phone Number
(502) 451-0600Established
Kentucky since 02/05/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
60SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 51 US 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 | — |
| CARSON, LINDA KELLEY | CO-CHAIRMAN | 6178126 |
| GRAHAM, TIMOTHY DALEY | PRESIDENT | 4461811 |
| HIGDON, STEVEN E | VICE CHAIR & CHIEF DEVELOPMENT OFFICER | 6443676 |
| IRONSIDE, JULIA MEYER | FINOP | 2441578 |
| JOYNER, DAMON BRADLEY | CHIEF EXECUTIVE OFFICER | 2157176 |
| MILLS, STEVEN RICHARD | CHIEF OPERATIONS OFFICER | 3133520 |
| OSS, STEVEN MICHAEL | CHIEF FINANCIAL OFFICER | 4696804 |
| SAMPSON, ERNEST AUBREY | CO-CHAIRMAN, MEMBER | 2001651 |
| TAYLOR-JONES, JOHN PHILIP | CHIEF COMPLIANCE OFFICER | 2171620 |
| WESCOTT, MARY ELIZABETH | CHIEF ADMINISTRATION OFFICER | 4404797 |
Regulatory Assets Under Management
Total Number of Accounts
8,765AUM (Assets Under Management)
$1,383,095,742Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | UDELL ASSOCIATES, LLC | TWENTY FOUR WEALTH | THE WEALTH PLANNING COMPANY | 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
State Registrations and Notice Filings
(1/24/2022)
(1/25/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
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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).
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