Unclaimed Profile

Mark Hamby

KMS FINANCIAL SERVICES, INC.·SEATTLE, Washington

SIE, Series 4, Series 7, Series 24, Series 63Clean record36 years registeredKMS FINANCIAL SERVICES, INC.

2001 SIXTH AVE STE 2801, SEATTLE, WA 98121CRD# 1187607Firm CRD# 3866

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Hamby · SEATTLE, WA

Registration

CRD #1187607 · KMS FINANCIAL SERVICES, INC. · 36 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC

Jun 1990 – Oct 2020

SEATTLE, WA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 63

Registration record

First registered · June 5, 1990

Years registered · 36

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

KMS FINANCIAL SERVICES, INC.

CRD 3866 · SEC 801-11375

AUM

$8.2B

Regulatory assets under management

Employees

429

33,857 client accounts

Services offered by KMS FINANCIAL SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Other advisory services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at KMS FINANCIAL SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does Mark Hamby offer?

Mark Hamby specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Mark Hamby's credentials?

Mark Hamby is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark Hamby located?

Mark Hamby is based in SEATTLE, Washington, last registered with KMS FINANCIAL SERVICES, INC..

How does Mark Hamby charge for services?

Mark Hamby's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, other: solicitation or referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KMS FINANCIAL SERVICES, INC.?

KMS FINANCIAL SERVICES, INC. has approximately 429 employees and manages $8.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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