KMS FINANCIAL SERVICES, INC
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KMS FINANCIAL SERVICES, INC
(CRD# 3866)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Seattle, WA.
The SEC approved the firm to operate as an RIA in
Apr 1976.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.4 Billion,
with discretion over
79%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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KMS FINANCIAL SERVICES, INC
also reported in
Mar 2019
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419
employees,
with
377
performing advisory functions.
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A total of 372 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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KMS FINANCIAL SERVICES, INC has one or more disclosure events currently on file with the SEC.
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KMS FINANCIAL SERVICES, INC has Notice Filings with the following State Securities Authorities:
AK-Mar 1998, AL-Jan 2008, AR-Jan 2008, AZ-Oct 2004, CA-Jul 1997
, CO-Jan 2002, CT-Sep 2006, DC-Jul 2006, DE-Jan 2011, FL-Feb 2002
, GA-Mar 2005, HI-Oct 2005, IA-Jan 2008, ID-Sep 1994, IL-Oct 2003
, IN-Oct 2005, KS-Sep 2005, KY-Jan 2008, LA-Sep 2013, MA-Aug 2002
, MD-Apr 2003, ME-Jan 2008, MI-Jan 2008, MN-Jan 2000, MO-Jan 2008
, MS-Jan 2008, MT-Dec 1997, NC-Jan 2008, ND-Aug 2012, NE-Jan 2008
, NH-Jan 2008, NJ-Feb 2008, NM-Jul 2004, NV-Jan 2002, NY-Mar 2003
, OH-Jun 2005, OK-Jan 2008, OR-Aug 2003, PA-Jan 2008, RI-Jan 2008
, SC-Mar 2010, SD-Jan 2008, TN-Jan 2008, TX-Jul 1990, UT-Mar 2003
, VA-May 2002, VT-Jan 2008, WA-Dec 1975, WI-Jan 2002, WV-Sep 2013
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
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