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: 452
No. franchises: 268
Year founded: 1971
Year end: Dec. 31
No. of retail offices: 1
Recruitment & Staffing
|No. of reps||452||448||401|
|No. of producing reps||338||341||322|
|No. of reps producing $100K-$499K /year||172||172||154|
|Total revenues: Other||$15,273,075||$9,684,731||$6,520,143|
|Total account assets||$16,400,000,000||$17,900,000,000||$15,290,000,000|
|Total account assets: Other||$9,323,758,349||$10,445,063,680||$9,518,000,000|
|Average assets per rep||$36,283,186||$39,955,357||$38,129,676|
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...
- 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.
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