Unclaimed Profile

Mark Thomas Mccloskey

KMS FINANCIAL SERVICES, INC.·SEATTLE, Washington

SIE, Series 000, Series 1, Series 4, Series 5, Series 7TO, Series 12, Series 15, Series 24, Series 52TO, Series 53, Series 63, Series 6610 years registeredKMS FINANCIAL SERVICES, INC.

2001 SIXTH AVE STE 2801, SEATTLE, WA 98121CRD# 325596Firm CRD# 3866

Profile Verification

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

Identity

Mark Thomas Mccloskey · SEATTLE, WA

Registration

CRD #325596 · KMS FINANCIAL SERVICES, INC. · 10 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KMS FINANCIAL SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

Nov 2020 – Jan 2021

SEATTLE, WA

KMS FINANCIAL SERVICES, INC

Jul 2016 – Nov 2020

SEATTLE, WA

Registrations & Exams

FINRA examinations passed

SIE

Series 000

Series 1

Series 4

Series 5

Series 7TO

Series 12

Series 15

Series 24

Series 52TO

Series 53

Series 63

Series 66

Registration record

First registered · July 18, 2016

Years registered · 10

Disclosure History

2015Customer Dispute·Settled

2014Customer Dispute·Settled

2014Regulatory·Final

2013Customer Dispute·Settled

2012Customer Dispute·Award / Judgment

2012Customer Dispute·Settled

2011Customer Dispute·Settled

2011Customer Dispute·Withdrawn

21 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

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 Thomas Mccloskey offer?

Mark Thomas Mccloskey specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Mark Thomas Mccloskey's credentials?

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

Where is Mark Thomas Mccloskey located?

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

How does Mark Thomas Mccloskey charge for services?

Mark Thomas Mccloskey'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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