KMS Financial Services Inc Email Format

Financial ServicesWashington, United States51-200 Employees

KMS Financial Services, Inc. is a Seattle-based securities broker-dealer and registered investment adviser that has operated since 1971. It provides a compliance-oriented platform to support financial professionals as they serve clients' investment needs, aligning with FINRA, SEC, and state regulations. As an independently operated subsidiary of Advisor Group, Inc., it sits within a broad network of independent wealth-management firms and offers services through affiliated broker-dealers.

The company targets financial professionals who require a regulated platform to manage client portfolios; in 2021, the SEC sanctioned KMS for deficient cybersecurity practices. Based in Seattle, the firm is part of a mid-sized organization operating within Advisor Group's ecosystem of affiliated broker-dealers.

Sign up for free to view info

Company overview Employee directory