Individual Firm
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GRETCHEN KAY MAHAFFEY
CRD#: 4549331
IA
B
PRIVATE CLIENT SERVICES, LLCCRD#: 120222 1552 Ormsby Station Court
Louisville, KY 40223
Louisville, KY 40223
0
Disclosures
22
Years of Experience
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State Registrations
B
District of Columbia 11/26/2013
B
North Carolina 11/26/2013
B
Florida 5/3/2010
B
Ohio 5/3/2010
B
Indiana 5/3/2010
B
Oklahoma 10/11/2021
B
Kentucky 5/3/2010
B
Pennsylvania 5/19/2021
IA
Kentucky 5/3/2010
B
Virginia 2/19/2016
B
Michigan 5/3/2010
B
Washington 5/17/2024
B
Minnesota 1/26/2015
B
Wisconsin 1/2/2020
B
New Hampshire 4/16/2024
SRO Registrations
B
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IA
Registered with this firm since 5/3/2010
B
Registered with this firm since 5/3/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/21/2008 - 05/06/2010 | LOUISVILLE, KY | |
B | 02/14/2008 - 05/06/2010 | LOUISVILLE, KY | |
B | 08/15/2002 - 02/19/2008 | LOUISVILLE, KY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.