ABOUT US  |  Our Broker / Dealer

A broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors.  The Securities and Exchange Commission (SEC) delegates the supervision of certain financial advisors to the Financial Industry Regulatory Authority (FINRA, http://www.finra.org).  FINRA, in turn, requires brokers to maintain their securities licenses with a broker/dealer with which to partner on your behalf.  Roberta Weinstein currently holds the required licenses to offer securities and investment advice through KMS Financial Services, Inc. (KMS).

Why KMS Financial Services Inc.?

KMS does not generate its own securities or insurance products, preferring to select investment opportunities strictly based on their ability to meet client needs. KMS offers a wide range of products and services.  The firm concentrates on providing professional and efficient back-office and administrative services to its representatives and clients.  The home office staff devote their full attention to providing representatives with the support they need to service their clients. The firm’s investment philosophy emphasizes two key concepts: broad diversification as your hedge against an uncertain future, and adequate liquidity to deal with the unexpected. No investment offers absolute guarantees, but with the acceptance of investment risk come opportunities for greater income and capital growth. On October 15, 2014, KMS became an independently operated, wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc., whose subsidiaries include Ladenburg Thalmann & Co. Inc., a member of the New York Stock Exchange since 1879.

How KMS helps me help you

Investment Choice.  Your financial objectives, personal investment style, and risk tolerance are the main criteria that influences our recommendations to you.  KMS offers Roberta Weinstein at Benefits West access to a wide selection of third-party investment vehicles and to truly objective, independent research help to ensure that we have the freedom to operate solely in your best interest.

If you'd like to know more

We'd be glad to talk with you further or to answer any questions you may have about our affiliation with KMS.  Securities and Advisory Services are offered by Roberta Weinstein and not Sandy Weinstein, through KMS Financial Services, Inc., Member FINRA/SIPC.  Please feel free to give Roberta Weinstein a call at 503-227-2163.