Our business model
As a dually registered broker-dealer and registered investment advisor, we help you model your practice to fit your clients, not the other way around.
Two models, one philosophy
Conduct commission-based securities business through our broker-dealer, with the products, supervision, and technology to serve a full range of client needs. Ideal for advisors who want a transactional relationship alongside advisory work.
Manage assets for a fee through our SEC registered investment advisory platform, or affiliate your own RIA. Build recurring, fee-based revenue with the flexibility to act in your clients' best interest.
What comes with it
Competitive fee structures and high advisor payouts. You keep more of what you earn, and the economics are transparent, with no distant parent company to subsidize.
Access to a broad network of product sponsors, money managers, and insurance carriers, negotiated at the scale of a national firm and available to your practice.
A comprehensive portfolio spanning brokerage, advisory, retirement, and insurance solutions, so you can serve the full financial picture of every client.
Custodial and clearing services through our relationship with Pershing, with the NetX360 and Albridge platforms for accounts, reporting, and consolidated wealth views.
Service & support
The technology, service, and custodial relationships of a brand-name broker-dealer, delivered by people who answer the phone.
Joining PCS · the process
Does your current broker-dealer make you feel like a number? A well-planned transition is a welcomed event. Here is how we make it smooth and orderly.
We learn about your practice and goals. No obligation, complete confidentiality.
We map accounts, paperwork, and timing so nothing is left to chance.
Our team handles the heavy lifting and keeps your clients informed throughout.
You reopen for business with more control, better economics, and a partner behind you.
Transition support
We minimize downtime and maximize the revenue opportunity of your move. Our transition team plans the paperwork, coordinates the timing, and communicates clearly with your clients so the change strengthens relationships instead of straining them.
PCS for tuck-ins
If you would rather not run the back office at all, tuck your practice into an established PCS office. Keep serving your clients while an experienced team handles operations, compliance, and technology on your behalf.
Testimonials
"I kept every client relationship and finally stopped answering to a firm that wasn't answering to me."
Affiliated advisor · Southeast region
"The transition team made the move feel like an upgrade instead of an ordeal. My clients barely noticed."
Independent advisor · Midwest
"Senior management actually picks up the phone. After years at a wirehouse, that alone was worth it."
Hybrid RIA · Southeast
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Service & support
Senior management with varied, successful backgrounds, accessible to share strategy and help you grow.
A common-sense approach centered on full disclosure to your clients, protecting your practice and reputation.
More than 300 online courses covering designations, state insurance, FINRA firm element, and market trends.
An experienced home-office team across sales, compliance, marketing, and operations, ready to assist.
FAQs
Yes. You own your book of business and can affiliate on your terms. Your clients stay your clients.
Yes. As a dually registered firm, PCS lets you run commission and fee-based business under one roof, and shape each around the client relationship.
We clear through Pershing, with the NetX360 and Albridge platforms for accounts, reporting, and consolidated wealth views.
It depends on your book, but our dedicated transition team plans the timing and paperwork to minimize downtime and keep clients informed throughout.
Completely. Conversations are confidential and carry no obligation. Reach Steve Higdon, Chief Development Officer, at (502) 797-5207.
Start the conversation
Tell us about your business. Every conversation is confidential, and it moves at your pace, not ours.
