Unclaimed Profile

Tracy Douglas Forsythe

KMS FINANCIAL SERVICES, INC.·SEATTLE, Washington

SIE, Series 7, Series 24, Series 66, Series 99TOClean record15 years registeredKMS FINANCIAL SERVICES, INC.

2001 SIXTH AVE STE 2801, SEATTLE, WA 98121CRD# 3065259Firm CRD# 3866

Profile Verification

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

Identity

Tracy Douglas Forsythe · SEATTLE, WA

Registration

CRD #3065259 · KMS FINANCIAL SERVICES, INC. · 15 years registered

Brand Profile

Not yet started

Career History

LPL FINANCIAL LLC

May 2024 – present

ARBOR POINT ADVISORS

Nov 2020 – May 2024

SEATTLE, WA

SECURITIES AMERICA ADVISORS, INC.

Nov 2020 – May 2024

SEATTLE, WA

KMS FINANCIAL SERVICES, INC

Dec 2010 – Nov 2020

SEATTLE, WA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 66

Series 99TO

Registration record

First registered · December 9, 2010

Years registered · 15

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 Tracy Douglas Forsythe offer?

Tracy Douglas Forsythe specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in SEATTLE, Washington for a consultation.

What are Tracy Douglas Forsythe's credentials?

Tracy Douglas Forsythe is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tracy Douglas Forsythe located?

Tracy Douglas Forsythe is based in SEATTLE, Washington, working with KMS FINANCIAL SERVICES, INC.. Their office serves clients in the SEATTLE metropolitan area and surrounding communities.

How does Tracy Douglas Forsythe charge for services?

Tracy Douglas Forsythe'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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