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

Insurance License#:

Life & Disability

Name of Broker/Dealer:

KMS Financial Services, Inc.

Name of Custodial Firm:

Pershing LLC

States Licensed in:

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

States Willing to do Business in:

All 52 States.

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Edward Jones Investment Representative(1999-2005)

KMS Financial Services, Inc. (2005 to present)

I work with the following types of clients:

Non-Profit Organizations, Individual Investors, Businesses

Foreign Languages Serviced:

Spanish, French

Education

Academic Background

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

Services

Investment Types:

Bonds, Stocks, Annuities, Insurance, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Accredited Asset Management Specialist (AAMS®)

Securities Licenses:

Series 63, Series 7

Insurance and Annuity Licenses:

Variable Life, Long Term Care, Annuity, Variable Annuity

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Investment Advisor:

Yes

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:

Commissions, Based on Assets

Fee % Based on Assets:

0.85%

Hourly Rate:

$150

Flat Fee Rate:

$1000/yr

Prepared By:

Charles D. Tompkins