Managing Member, Esop Trustee · Private Client Services, LLC
Ernest Aubrey Sampson
CRD 2001651 · Named on Form ADV at one SEC-registered adviser
At a glance
Private Client Services, LLC, an SEC-registered broker-dealer firm based in Louisville, KY with $1.4 billion in regulatory assets, lists Ernest Aubrey Sampson on its Form ADV as Managing Member, Esop Trustee, a control person.
Firms and roles
- Private Client Services, LLCManaging Member, Esop TrusteeBroker-dealer firm · Louisville, KY · $1.4B in regulatory assets
AtlasMembers
Ernest’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 1991 (35 years)
- Designations
- Chartered Financial Consultant
- Exams
- Series 63
- Registered in
- 5 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Ernest’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- John Philip Taylor-JonesChief Compliance Officer, Private Client Services, LLC
- Mary Elizabeth WescottChief Administration Officer, Private Client Services, LLC
- Julia Meyer IronsideFinop, Private Client Services, LLC
- Timothy Daley GrahamPresident, Private Client Services, LLC
- Steven Richard MillsChief Operations Officer, Private Client Services, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Ernest’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.