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Charles Tompkins, CFP

KMS Financial Services, Inc.

115 Oregon Ave, Suite 21

Bend, OR 97701
(541) 7977009

Serving investors since 1971.

About KMS Financial Services, Inc.

We provide wealth management services to individuals, trusts and small business clients. We specialize in working with retired clients as well as those nearing retirement. We provide retirement planning, estate planning and insurance planning as part of a comprehensive approach to wealth management.

Seattle Office: 2208 NW Market Street Suite 507 Seattle, WA 98107

General Information

Firm Start Year

2005

No.of Employees

2-4

CRD#

4060464

Firm CRD#

3866

Insurance License#

Life & Disability

Name of Broker/Dealer

KMS Financial Services, Inc.

Name of Custodial Firm

Pershing LLC

States Licensed in

CA,ID, VT, VA, WA, MT, OH, OR, AZ

Years of Experience in Financial Services

20

Number of Years with Current Firm

15

Work Experience

Edward Jones Investment Representative(1999-2005)

KMS Financial Services, Inc. (2005 to present)

I work with the following types of clients

Non-Profit Organizations, Individual Investors, Businesses

Foreign Languages Serviced

Spanish, French

Services

Investment Types

Options & Futures, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Socially Responsible Investments (SRI)

I can meet clients in the following ways

At your office, Via email, Via phone, At my office, At your home, Video Conference

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

No

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CERTIFIED FINANCIAL PLANNER" Certificant

Securities Licenses

Series 6, Series 63, Series 7

Insurance and Annuity Licenses

Disability, Annuity, Life, Variable Annuity, Long Term Care, Variable Life

Financial Organization Memberships

Financial Planning Association (FPA)

Firm Information

Firm's Number of Clients

25841

Firm's Number of Planning Clients

5000

Firm's Number of Managed Clients

350

Assets Managed by Firm

$5292512705

Advisor's Number of Clients

500

Advisor's Number of Planning Clients

300

Assets Managed by Advisor

$10000000

Compensation and Fees

Fee Structure

Fee-Based

Compensation Methods

Based on Assets

Fee % Based on Assets

1.00%

Additional Details on Charges

The fee is based on account size and holdings.

Minimum Fee Charged for Managed Accounts

$1000/year

Education

Bachelor of Arts - Political Science

University of Vermont
1987 - 1991

MA - Spanish

Middlebury College
07/01/1996 - 12/14/1998

Disclaimer

Securities and Advisory Services offered through KMS Financial Services, Inc. Member FINRA/SIPC