Nicholas T. Moshou

PRIVATE CLIENT SERVICES

Charlotte, NC 28277

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CRD#: 5551009

Professional summary

Nicholas Thomas Moshou is a registered financial professional currently at PRIVATE CLIENT SERVICES, LLC located in Charlotte, North Carolina.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2010. Nicholas has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Thomas Moshou's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 31, 2021 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 7755 Ballantyne Commons Suite 101, Charlotte, NC 28277

RIA

CRD#: 120222

Charlotte, NC

Past

January 21, 2020 - August 24, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

Past

June 19, 2018 - February 20, 2019

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244

CHARLOTTE, NC

Past

September 17, 2015 - May 7, 2018

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 17, 2012 - December 20, 2012

ZECCO TRADING, INC.

CRD#: 135398

GLENDALE, CA

Past

June 9, 2010 - August 21, 2015

ALLY INVEST SECURITIES LLC

CRD#: 136131

CHARLOTTE, NC

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".

PRIVATE CLIENT SERVICES, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(2/3/2025)

Alaska
(2/3/2025)

Arizona
(2/3/2025)

Arkansas
(2/3/2025)

California
(2/3/2025)

Colorado
(2/3/2025)

Connecticut
(2/3/2025)

Delaware
(2/3/2025)

District of Columbia
(2/3/2025)

Florida
(2/3/2025)

Georgia
(2/3/2025)

Hawaii
(2/3/2025)

Idaho
(2/3/2025)

Illinois
(2/3/2025)

Indiana
(2/3/2025)

Iowa
(2/3/2025)

Kansas
(2/3/2025)

Kentucky
(8/31/2021)

Louisiana
(2/3/2025)

Maine
(2/3/2025)

Maryland
(2/3/2025)

Massachusetts
(2/3/2025)

Michigan
(2/3/2025)

Minnesota
(2/3/2025)

Mississippi
(2/3/2025)

Missouri
(2/3/2025)

Montana
(2/6/2025)

Nebraska
(2/3/2025)

Nevada
(2/3/2025)

New Hampshire
(2/3/2025)

New Jersey
(2/3/2025)

New Mexico
(2/3/2025)

New York
(2/3/2025)

North Carolina
(2/3/2025)

North Dakota
(2/3/2025)

Ohio
(2/3/2025)

Oklahoma
(2/3/2025)

Oregon
(2/3/2025)

Pennsylvania
(2/3/2025)

Rhode Island
(2/3/2025)

South Carolina
(8/31/2021)

South Dakota
(2/3/2025)

Tennessee
(2/3/2025)

Texas
(2/3/2025)

Utah
(2/3/2025)

Vermont
(2/3/2025)

Virginia
(2/3/2025)

Washington
(2/3/2025)

West Virginia
(2/3/2025)

Wisconsin
(8/31/2021)

Wyoming
(2/3/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 6/23/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/8/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/28/2011

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/7/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PRIVATE CLIENT SERVICES, LLC

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)

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

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BROCHURE SUPPLEMENT FORM ADV2B STEVEN MILLS (3/21/2025)

FIRM BROCHURE 03/21/2025 (3/21/2025)

FIRM WRAP FEE BROCHURE 03/21/2025 (3/21/2025)

BROCHURE SUPPLEMENT FORM ADV 2B - EDWARD MARION (3/21/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas T. Moshou

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Thomas Moshou's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LINDEN THOMAS AND COMPANY SECURITIES, LLC

LPL FINANCIAL LLC

ZECCO TRADING, INC.

ALLY INVEST SECURITIES LLC

Primary Firm SEC Registration

PRIVATE CLIENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/2010

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/8/2010

Series 4

Date: 11/28/2011

Series 24

Date: 2/7/2011

FINRA

Current Firm

PRIVATE CLIENT SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

PRIVATE CLIENT SERVICES, LLC

TRUST BUT VERIFY

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