KMS Financial Services, Inc.
A subsidiary of Ladenburg Thalmann Financial Services Inc.
2001 Sixth Avenue, Suite 2801
Seattle, WA 98121
Clearing firm: Charles Schwab, Fidelity Clearing and Custody Solutions, Pershing LLC, TD Ameritrade
No. advisers: 322
No. franchises: 282
Year founded: 1971
Year end: Dec. 31
For More Information
|CEO||Eric S. Westberg|
|Recruiting Contact||Tracy Forsythe|
(206) 441-2885, ext. 232
|Compliance Contact||Casey Dougherty|
(206) 441-2885, ext. 270
|Marketing Contact||Deanna Arnold-Frady|
(206) 441-2885, ext. 273
|Technology Operations Contact||Aileen Krohn|
(206) 441-2885, ext. 211
Recruitment & Staffing
|No. of reps||322||401||408|
|No. of producing reps||—||322||321|
|No. of reps producing $100K-$499K /year||—||154||160|
|Total revenues: Other||—||$6,520,143||$3,479,502|
|Total account assets||—||$15,290,000,000||$14,750,000,000|
|Total account assets: Other||—||$9,518,000,000||$9,493,000,000|
|Average assets per rep||0||$38,129,676||$36,151,961|
April 4, 2018 - The Ladenburg Institute of Women & Finance is partnering with The W Source, a nationwide networking organization for female professionals, to help generate referrals for female financial advisers. The partnership is also intended to help drive the advancement...
July 20, 2017 - KMS Financial Services, a Seattle-based hybrid RIA firm, has settled charges that it failed to disclose conflicts of interest stemming from receiving revenue from a third-party broker-dealer. Without admitting or denying the SEC's findings, KMS consented...
April 23, 2017 - Top 50 IBDs ranked by 2016 revenue Bubble view By group Table view Firm 2016 revenue ($M) % change vs. 2015 2016 commission revenue ($M) % change vs. 2015 2016 fee revenue ($M) % change vs. 2015 2016 other revenue ($M) % change vs. 2015 1 LPL Financial...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.
For comments or suggestions about the Adviser Center, please contact us.
Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.
Latest news & opinion
The data appeared in three spreadsheets, linked on one of the New York-based company's web pages dedicated to its iShares exchange-traded funds
Millennials love it, advisers don't: Turns out, extreme early retirement is a suitable goal for almost nobody.
These 10 American schools have the greatest number of alumni who are billionaires.
The markets took a beating last year, but these exchange-traded funds bucked the trend
Net flows into mutual funds and ETFs were the lowest since the 2008 financial crisis, while money-market funds captured inflows.