KMS Financial Services, Inc.
KMS Financial Services, Inc. is the broker / dealer and Registered Investment Advisor. KMS has been serving investors since 1971 and is based in Seattle, WA. Serving independent advisors, KMS Financial Services, Inc. provides Scott with back office support and compliance. KMS is an independently operated, wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc., a member of the New York Stock Exchange since 1879. Pershing, LLC (a subsidiary of the Bank of New York Mellon Corporation) provides clearing, custody services and account reporting to many of our clients.
Like most other brokerage firms, KMS Financial Services, Inc. is a member of SIPC, which is a nonprofit corporation created by an act of Congress to protect the clients of brokerage firms that are forced into bankruptcy. SIPC does NOT protect your account from market losses.
SIPC is a form of insurance which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). An explanatory brochure is available upon request or at www.sipc.org. Remaining coverage is provided by Pershing through a commercial insurer, details here.
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