Richard Robertson, financial advisor Redmond OR
93 score

Richard Robertson

CRD Number: 1311437
Current Firm: Kms Financial Services, Inc.

Richard Robertson (CRD# 1311437) is an Investment Advisor Representative working at Kms Financial Services, Inc. in Redmond, OR and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Kms Financial Services, Inc. Seattle, WA Feb 1991 - Current 25
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1984
S66 NASAA Uniform Combined State Law Examination May 2003
Contact Info for Richard E. Robertson
Phone Number: [206]441-2885
Registered State(s):
  • CA
  • OR
By the Numbers
  • Total Assets Under Management
    5,174
    MILLIONS
  • Total Number of Accounts
    24,587
    ACCOUNTS
  • Average Account Value
    $210,434
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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