Business Description

Our advisory firm specializes in managing retirement assets, 401k rollovers and small business retirement plans. We work closely with tax professionals to ensure that all plans conform to changes in the tax code.
We provide financial advice and management services to retired clients as well as those nearing retirement who seek to reduce risk and increase income in their portfolios.

General Information

Gender:

Male

CRD#:

4060464

Firm CRD#:

3866

Name of Broker/Dealer:

KMS Financial Services, Inc.

States Licensed in:

CA, CO, ID, NY, OR, VT, VA, WA, WI

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors

Foreign Languages Serviced:

Spanish, French

Education

Academic Background

BA, Political Science - University of Vermont
MA - Middlebury College

Services

Investment Types:

Annuities, Stocks, Options & Futures, Alternative Investments, Bonds

Qualifications & Memberships

Securities Licenses:

Series 7, Series 63

Firm Information

Number of Advisors in Office:

10 - 99 employees

Compliance

Registered Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets, Commissions

Prepared By:

Charles D. Tompkins