CN
Charles F. Neal
PRIVATE CLIENT SERVICES
Jeffersonville, IN 47130
Some features on this profile are disabled
CRD#: 3138718
CN
Professional summary
Charles Frederick Neal is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Jeffersonville, Indiana.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Charles has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) CF NEAL & CO, LLC, NON INVESTMENT RELATED, 131 E COURT AVE, SUITE 300B, JEFFERSONVILLE, IN 47130. PARENT ORGANIZATION FOR CFN INSURANCE SERVICES. OWNER. 20 HOURS PER MONTH, 10 HOURS PER MONTH DURING TRADING HOURS.
2)CFN INSURANCE SERVICES, 131 E COURT AVE, SUITE 300-B. JEFFERSONVILLE, IN 47130. PRESIDENT AND FOUNDER, INSURANCE & RISK MANAGEMENT SVCS. NON-INVESTMENT-RELATED, BEGAN 2/09, 10 HRS/MO-10 DURING TRADING.
3) CFN WEALTH MANAGMENT, LLC, PRESIDENT AND FOUNDER, INVESTMENT RELATED, 312 E COURT AVE JEFFERSONVILLE IN 47130, ESTATE & FINANCIAL PLANNING/INSURANCE AND RISK MANAGEMENT SERVICES, BEGAN 1/05.
4) OTTAWA UNIVERSITY, 287 QUARTER MASTER COURT, JEFFERSONVILLE, IN 47130, ADJUNCT PROFESSOR-ECONOMICS AND FINANCE, BEGAN 3/09, 6 HRS/MO-0 DUR TRADING.
5) IVY TECH COMMUNITY COLLEGE, MEDICAL ASSISTING ADVISORY BOARD, JEFFERSONVILLE, IN 47130, BOARD MEMBER, BEGAN 05/01/2014, .5 HRS/MO-.5 DUR TRADING.
6)JUST BELIEVE; 1223 BICKNELL AVE, LOUISVILLE, KY 40215. NON-INVESTMENT RELATED. BOARD MEMBER FOR US-BASED, INTERNATIONAL NON-PROFIT CHARITY; 2 HRS/MONTH, 0 DURING TRADING HRS.
7) YMCA of Greater Louisville/Clark County. 4812 Hamburg Pike, Jeffersonville, In 47130. Board of Advisors, 2 hrs/month, not during trading hrs. Non-investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Frederick Neal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Frederick Neal'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
March 24, 2005 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 131 East Court Avenue Suite 300-b, Jeffersonville, IN 47130RIA
BD
CRD#: 120222
Jeffersonville, IN
Current
January 4, 2010 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 131 East Court Avenue Suite 300-b, Jeffersonville, IN 47130RIA
BD
CRD#: 120222
Jeffersonville, IN
Past
January 14, 2005 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
JEFFERSONVILLE, IN
Past
January 14, 2005 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
JEFFERSONVILLE, IN
Past
January 8, 2004 - February 8, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LOUISVILLE, KY
Past
November 8, 2002 - February 8, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 12, 2001 - October 23, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
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
Arizona(1/5/2024)
RR
Florida(8/18/2020)
RR
Indiana(1/4/2010)
IAR
Indiana(1/4/2010)
RR
Kentucky(1/4/2010)
RR
Massachusetts(4/26/2016)
RR
Ohio(1/4/2010)
RR
Texas(1/2/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
PRIVATE CLIENT SERVICES, LLC
CRD#: 120222Jeffersonville, IN 47130TRUST BUT VERIFY
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