# KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC. of SEATTLE, WA is an SEC-registered investment adviser.

## Registration

- CRD: 3866
- Type: SEC-registered investment adviser
- SEC file number: 801-11375
- Location: 2001 SIXTH AVE STE 2801, SEATTLE, WA, 98121
- Phone: \[206\]441-2885
- Latest filing: 2020-11-09
- Regulatory AUM: $8.2B
- Discretionary AUM: $6.7B
- Non-discretionary AUM: $1.5B
- Clients: 429
- Accounts: 33,857

## Officers, owners & control persons (40)

_Showing 25 of 40 people._

| Name | Role | Location |
| --- | --- | --- |
| SNIDER KENNETH MAX | CHAIRMAN; SHAREHOLDER | — |
| HAMBY MARK | CHAIRMAN/CEO; CHAIRMAN/CEO/DIRECTOR; PRESIDENT/CEO | — |
| WESTBERG ERIC STANLEY | CHAIRMAN & CEO; CHAIRMAN EMERITUS; CHIEF OPERATING OFFICER & GENERAL COUNSEL (+3 more) | — |
| PAULSEN KENNETH WARREN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF TECHNOLOGY OFFICER; VICE PRESIDENT/CFO | — |
| HARLEY SANDRA LYNN | DIRECTOR; SR VICE PRESIDENT/ ADVISORY & INSURANCE; VICE PRESIDENT | — |
| KROHN AILEEN GAIL | EXECUTIVE VICE PRESIDENT OF CORPORATE & SPECIAL PROJECTS; EXECUTIVE VICE PRESIDENT - OPERATIONS; MANAGING DIRECTOR / OPERATIONS (+2 more) | — |
| LAWRENCE DAVID JOHN | ASSISTANT VICE PRESIDENT; VICE PRESIDENT; VICE PRESIDENT/ TECHNICAL SERVICES | — |
| FORSYTHE TRACY DOUGLAS | CHIEF COMPLIANCE OFFICER/BOARD SECRETARY; CHIEF COMPLIANCE OFFICER / DIRECTOR; CO-CHIEF COMPLIANCE OFFICER / DIRECTOR (+5 more) | — |
| CAMPBELL CAILEN BRUCE | VICE PRESIDENT-INFORMATION SERVICES | — |
| ZELLERHOFF MARK CHRISTOPHER | SECURITIES OPERATIONS PRINCIPAL; SENIOR VICE PRESIDENT OF OPERATIONS; VICE PRESIDENT/ BROKERAGE OPERATIONS (+1 more) | — |
| BRETON BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | — |
| HARRINGTON DEBORAH LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | — |
| GRIFFITH DOREEN LOUISE | CHIEF TECHNOLOGY OFFICER | — |
| SCHLUETER MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | — |
| SIMS JEFFREY SCOTT | CFO; CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER; VICE PRESIDENT OF FINANCE | — |
| PRICE JAMES DALE | CHAIRMAN | — |
| SCOTT JULIE DIANNE | SHAREHOLDER; VICE PRESIDENT / BRANCH ADMINISTRATION; VICE PRESIDENT/ BRANCH ADMINISTRATION (+1 more) | — |
| DOUGHERTY CASEY WILLIAM | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER; CO-CHIEF COMPLIANCE OFFICER (+2 more) | — |
| BLANCATO PHILIP SALVATORE | DIRECTOR | — |
| FORD ERINN JUNE | PRESIDENT; PRESIDENT & CEO | — |
| MCCLOSKEY MARK THOMAS | SENIOR VICE PRESIDENT OF COMPLIANCE | — |
| ARNOLD ALISON LYNN | VICE PRESIDENT/ADVISORY SERVICES | — |
| KING NATHANIEL J | CHIEF TECHNOLOGY OFFICER; VICE PRESIDENT/INFORMATION SYSTEMS | — |
| KAUFMAN BRETT H | DIRECTOR | — |
| MALAMED ADAM SCOTT | DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/3866/brochure
- Similar advisers: https://search.stillhousedata.com/firm/3866/similar
- Related entities: https://search.stillhousedata.com/firm/3866/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/3866

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.