KMS FINANCIAL SERVICES, INC
Phoenix, AZ
Company Profile
Industry:Advertising Agency
Registration:Dec 18, 1985
Phone:
Addresses:4930 E Earll, Phoenix, AZ 85018 (Physical)
2914 N 40Th St, Phoenix, AZ 85018
State ID:-0181474-3
Expiration:PERPETUAL
Members (3):Mark L Sullivan / President 4930 East Earll Drive, Phoenix, AZ 85018 (Physical) Kathy L Sullilvan / Secretary 4930 E Earll Drive, Phoenix, AZ 85018 (Physical) Mark L Sullilvan / Director Director 4930 E Earll Drive, Phoenix, AZ 85018 (Physical)
Agent:Mark Sullivan 4930 E Earl Dr, Phoenix, AZ 85018 (Physical)
4930 E. Earll Drive, Phoenix, AZ 85018 (Physical)
Who has worked at KMS FINANCIAL SERVICES, INC
| Position at KMS FINANCIAL SERVICES, INC | Previous job position | |
|---|---|---|
| Ace Forsythe | Managing Director -- CCOSince Apr 1998 |
Tracy D. Forsythe Attorney at LawOwner Sep 1991 - Apr 1998 |
| Aileen Krohn | SVP Securities Operations |
|
| Alecia Modahl | Certified Financial PlannerSince Apr 2009 |
|
| Alyson Haeck | Securities Operations SpecialistSince Mar 2013 |
Robinson Tait, P.SQuality Control Assistant, Eviction Specialist Oct 2011 - Mar 2013 |
| Bonnie Kern | CFP |
|
| Casey Dougherty | VP Compliance and InsuranceSince Feb 2000 VP, Compliance and Insurance |
|
| Dave Lambert | Office ManagerSince Sep 2011 |
Lambert's Inc.Owner Dec 2006 - Sep 2011 |
| Deanna Arnold | Advisory Services ManagerSince Apr 2010 |
Symetra FinancialBroker Dealer and Advisory Services Manager Jul 2007 - Mar 2010 |
| Eric Steger | Compliance OfficerSince Aug 2009 |
AMERIPRISE FINANCIAL SERVICES, INCField Compliance Supervisor Nov 2004 - Apr 2009 |
| Glen Thiessen | Intergenerational Wealth AdvisorSince Feb 2002 |
BECU Financial ServicesFinancial Advisor Aug 1993 - Feb 2002 |
| Glen Thiessen | Financial AdvisorSince Feb 2002 |
Transition Planning, Inc.Financial Advisor Since Feb 2002 |
| Hoa Truong | Financial Advisor |
|
| Jamie O'cain | Security Operations ManagerSince Feb 1997 |
|
| Jeff Dreke | Compliance & Due Diligence Officer |
|
| Jim Flinn | Investment AdvisorSince Apr 1991 |
Merrill LynchFinancial Consultant Jan 1988 - Apr 1991 |
| Joseph Petrusek | Investment AdvisorSince Mar 2002 |
|
| Ken Paulsen | CFO |
|
| Kim Alloway | Financial AssistantSince Dec 2003 |
ETMA / Three-Five SystemsProgram Manager 2001 - 2003 |
| Kristine Suhm | Owner |
|
| Marilyn Pabros | Securities Operations Specialist |
|
| Mark Hamby | President & CEO |
|
| Robb Lane | Investment Advisor RepresentativeSince 2006 |
|
| Stacy Gannon | Compliance OfficerSince Nov 2011 Compliance & Annuities SpecialistAug 2010 - Nov 2011 Managed Products SpecialistMar 2009 - Aug 2010 Compliance and Annuities SpecialistAug 2010 - Nov 2011 Managed Product SpecialistMar 2009 - Aug 2010 |
Citco Global ServicesHedge Fund Administrator Dec 2007 - Jan 2009 |
| Stephanie J. Shinn | Investment Advisor RepresentativeSince Nov 2007 |
Purcell Advisory Services, LLCInvestment Advisor Representative Feb 2005 - Jan 2010 |
Former Employees
| Position at KMS FINANCIAL SERVICES, INC | Next job position | |
|---|---|---|
| Bill Roberts | Investment AdvisorSince 2006 |
ClearData Forensics LLCOwner Since Dec 2010 |
| Darryl Swenson | Certified Financial PlannerOct 1987 - Apr 1998 |
No-CompanyRetired. Amateur aerial photography. Since Jan 1998 |
| Efrain Cardona | Registered RepresentativeSince 1995 |
|
| Jude Nicholson | Registered Representative & Investment Advisor AffiliateSep 2000 - Sep 2008 |
Sustainable Wisdom Financial Services PLCPrincipal & Investment Advisor Representative Since Oct 2009 |
| Melissa Bowers | Independent Licensed AssistantSince Nov 2002 |
Klevens Capital ManagementLicensed Assistant Since Nov 2002 |
| Richard Ivester | Registered RepresentativeSince 2006 |
Ivester & Associates, Inc.Owner |
| Robert Lettin | Registered RepresentativeSince Jun 1998 |
Lettin & Company, Inc.Founder/CEO Since Jul 1998 |
| Roger Potthoff | Related Previous Experience - Investment Advisor and Financial PlannerOct 2008 - Dec 2012 |
APR StrategiesOwner Since May 2003 |
| Sandra Hoa Truong - Ciras And Financial Advisor. | Financial Advisor2005 - 2009 |
88 Prosperity Wealth Management/ Affiliated with KMS Financial Servcies, Inc., member FINRA/SIPC.President/Financial Advisor/Certified IRA Specialist Since Sep 2005 |