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Investment Adviser Firm Summary

KMS FINANCIAL SERVICES, INC. (CRD# 3866 / SEC# 8-15433, 801-11375)
Alternate Names: KMS FINANCIAL SERVICES, INC , KMS FINANCIAL SERVICES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/06/1976

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/10/2008
Alaska 03/17/1998
Arizona 10/06/2004
Arkansas 01/10/2008
California 07/08/1997
Colorado 01/28/2002
Connecticut 09/18/2006
Delaware 01/20/2011
District of Columbia 07/05/2006
Florida 02/27/2002
Georgia 03/11/2005
Hawaii 10/17/2005
Idaho 09/21/1994
Illinois 10/27/2003
Indiana 10/24/2005
Iowa 01/11/2008
Kansas 09/21/2005
Kentucky 01/17/2008
Louisiana 09/03/2013
Maine 01/10/2008
Maryland 04/04/2003
Massachusetts 08/01/2002
Michigan 01/15/2008
Minnesota 01/03/2000
Mississippi 01/15/2008
Missouri 01/15/2008
Montana 12/17/1997
Nebraska 01/15/2008
Nevada 01/28/2002
New Hampshire 01/16/2008
New Jersey 02/04/2008
New Mexico 07/20/2004
New York 03/12/2003
North Carolina 01/15/2008
North Dakota 08/06/2012
Ohio 06/29/2005
Oklahoma 01/17/2008
Oregon 08/01/2003
Pennsylvania 01/16/2008
Rhode Island 01/16/2008
South Carolina 03/04/2010
South Dakota 01/17/2008
Tennessee 01/17/2008
Texas 07/10/1990
Utah 03/03/2003
Vermont 01/17/2008
Virginia 05/21/2002
Washington 12/30/1975
West Virginia 09/03/2013
Wisconsin 01/28/2002

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser