LS
Leanne O. Smith
PRIVATE CLIENT SERVICES
Spokane, WA 99224
Some features on this profile are disabled
CRD#: 5078833
LS
Professional summary
Leanne Ozaine Smith, who also goes by Brandy Leanne Ozaine, B Leanne Ozaine-smith, Brandy Ozaine Ozaine-smith, is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Spokane, Washington.
Leanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Leanne has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brandy Leanne Ozaine | B Leanne Ozaine-Smith | Brandy Ozaine Ozaine-Smith
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) ENTHEOS FINANCIAL PLANNING. 1717 S Rustle Street, Suite 102, Spokane, WA 99224. TRADE NAME OF FINANCIAL PLANNING & INVESTMENT MANAGEMENT BUSINESS. FINANCIAL PLANNING, INVESTMENT MANAGEMENT. 100 HRS/MO; 100 DURING TRADING HRS. 2) INSURANCE SALES. 1717 S Rustle Street, Suite 102, Spokane, WA 99224. SALE OF LIFE INSURANCE. AGENT. 1-2 HRS/MO; 1-2 DURING TRADING HRS. 3) PURSUIT OF PROFIT. 1717 S Rustle Street, Suite 102, Spokane, WA 99224. 1-ON-1 CONSULTING & EDUCATION FOR SMALL BUSINESS OWNERS. FOCUSED ON HELPING BUSINESS OWNERS OPTIMIZE CASH FLOW AND PROFIT. OWNER. MEETING WITH BUSINESS OWNERS WHERE I TEACH THEM HOW TO USE FINANCIALS TO INCREASE PROFITS. 12 HRS/MO; 12 DURING TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Leanne Ozaine Smith'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
July 17, 2020 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1717 S Rustle Street Suite 102, Spokane, WA 99224RIA
BD
CRD#: 120222
Spokane, WA
Past
October 3, 2016 - July 15, 2020
COLUMBIA ADVISORY PARTNERS, LLC
RIA
CRD#: 171616
SPOKANE, WA
Past
April 25, 2014 - October 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
SPOKANE VALLEY, WA
Past
April 25, 2014 - October 8, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
SPOKANE VALLEY, WA
Past
October 27, 2008 - April 17, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SPOKANE, WA
Past
March 4, 2008 - April 17, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPOKANE, WA
Past
September 15, 2006 - December 19, 2007
WADDELL & REED
RIA
CRD#: 866
COEUR D'ALENE, ID
Past
July 3, 2006 - December 19, 2007
WADDELL & REED
BD
CRD#: 866
COEUR D'ALENE, ID
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.Highlighted states indicate IAR registrations
IAR
Washington(7/17/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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#: 120222Spokane, WA 99224TRUST BUT VERIFY
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