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KMS Financial Services, Inc.

KMS Financial Services, Inc.
KMS Financial Services, Inc. is a broker-dealer with 406 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.

Advisors (406)

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Name Start Date
Adam Charles Carlini Dec 2011
Adam Timothy Wishard Aug 2006
Aileen Gail Krohn Jan 1992
Alecia Lauretta Modahl May 2009
Allan Bruce Ravenscroft Jul 2011
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$2.4B
Total Assets
13K
Accounts
$185.6K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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ownership pie chart

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Kenneth Warren Paulsen Chief Financial Officer 08/01/1976
Sandra Lynn Harley Director 04/01/1980
Aileen Gail Krohn Sr Vice President/ Securities Operations 08/01/1994
David John Lawrence Vice President/ Technical Services 05/01/2001
Tracy Douglas Forsythe Chief Compliance Officer/Board Secretary 07/01/1999

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
2001 Sixth Ave Ste 2801
Seattle , WA 98121
Phone Number: [206]441-2885
Other Offices Address City State Zip
2001 SE Columbia River Dr, Suite 100 Vancouver WA 98661
6600 SW 92nd Ave, Suite 260 Portland OR 97223
1201 Main St Vancouver WA 97401
4733 Tacoma Mall Blvd, Suite 200 Tacoma WA 98049
111 SW Columbia, Suite 1080 Portland OR 97201

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: (6) Performance-based fees