Perhaps the most important thing to know about KMS is that we are independent and privately owned. This allows us to focus on long-term objectives rather than short-term profits. We generate none of our own securities or insurance products, preferring to select investment opportunities on the basis of their ability to meet our clients' needs.
KMS emphasizes compliance with the rules and guidelines of several regulatory bodies, including the Financial Industry Regulatory Authority, the Securities and Exchange Commission, and the 50 states. These regulations exist for your protection, and we give them the highest priority.
Our investment philosophy incorporates two key concepts: broad diversification as your hedge against an uncertain future, and adequate liquidity to deal with the unexpected. Of course, no investment offers absolute guarantees, but with the acceptance of investment risk comes the opportunity for greater income and capital growth.
From that perspective, we hope you find the information about our products and services useful and informative.
- Mark Hamby, Chairman & Chief Executive Officer
- Eric S. Westberg, President & Chief Operating Officer
- Kenneth W. Paulsen, Managing Director / Chief Financial Officer
- Tracy D. Forsythe, Managing Director / Chief Compliance Officer
- Aileen G. Krohn, Senior Vice President / Security Operations
- Joe King, Vice President / Information Services
- Deanna Arnold-Frady, Vice President / Business Relations
- Julie Scott, Vice President / Licensing & Administration
- Casey Dougherty, Vice President / Insurance & Compliance
- David J. Lawrence, Vice President / Administrative Services
- Mark C. Zellerhoff, Securities Operations Principal
- Tony G. Curran, Assistant Vice President / Advisory Operations
- Sandra L. Harley, Director
- Kenneth M. Snider, Founder & Shareholder