Jim Spencer's Contact Details

Jim Spencer's Company Details

KMS Financial Services, Inc.

Seattle, WA, US • 100 - 249 Employees
Financial Services

KMS is a securities broker-dealer and registered investment advisory firm based in Seattle since 1971. The firm is mission-driven to support the strategic role that financial professionals can play in the lives of their clients. KMS emphasizes compliance with the rules and guidelines of various regulatory bodies, including the Financial Industry Regulatory Authority (FINRA), the Securities Exchange Commission (SEC) and the 50 states. KMS is an independently operated, wholly owned subsidiary of Advisor Group, Inc. Advisor Group, Inc. is the nation's largest network of independent wealth management firms, serving approximately 11,300 financial professionals and overseeing over $450 billion in client assets. Securities and investment advisory services are offered through its affiliated broker-dealers: FSC Securities Corporation; Royal Alliance Associates, Inc.; SagePoint Financial, Inc.; Woodbury Financial Services, Inc.; Securities America, Inc.; Triad Advisors, LLC.; Investacorp, Inc.; KMS Financial Services, Inc.; and Securities Service Network, LLC, members FINRA and SIPC, and Registered Investment Advisers. Third-party comments may not be representative of all customer experiences. Please see our full disclosures (under the "Disclosures" tab) on www.kms.com.