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KMS FINANCIAL SERVICES, INC
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% .  
 
KMS FINANCIAL SERVICES, INC also reported in Mar 2019
  • 419 employees, with 377 performing advisory functions.
  • A total of 372 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
KMS FINANCIAL SERVICES, INC has one or more disclosure events currently on file with the SEC.
 

View KMS FINANCIAL SERVICES, INC's most recent Form ADV filing
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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


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 FindingFraud.org with questions or concerns.


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