Roy C Lines

Current Employers

Umb Financial Services, Inc.

928 Grand Blvd 4Th Floor, Kansas City, MO 64106 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2026-05-08
AL	RA	APPROVED	2026-04-02
AZ	RA	APPROVED	2026-04-01
CA	RA	APPROVED	2026-04-01
FL	RA	APPROVED	2026-04-01
IL	RA	APPROVED	2026-03-31
IN	RA	APPROVED	2026-03-31
KS	RA	APPROVED	2026-03-31
NM	RA	APPROVED	2026-03-26
WI	RA	APPROVED	2026-03-26
NV	RA	APPROVED	2026-03-25
NC	RA	APPROVED	2026-03-25
TX	RA	APPROVED_RES	2026-03-25
IA	RA	APPROVED	2026-03-24
MN	RA	APPROVED	2026-03-24

NY RA
APPROVED

Since 2026-05-08
AL RA
APPROVED

Since 2026-04-02
AZ RA
APPROVED

Since 2026-04-01
CA RA
APPROVED

Since 2026-04-01
FL RA
APPROVED

Since 2026-04-01
IL RA
APPROVED

Since 2026-03-31
IN RA
APPROVED

Since 2026-03-31
KS RA
APPROVED

Since 2026-03-31
NM RA
APPROVED

Since 2026-03-26
WI RA
APPROVED

Since 2026-03-26
NV RA
APPROVED

Since 2026-03-25
NC RA
APPROVED

Since 2026-03-25
TX RA
APPROVED_RES

Since 2026-03-25
IA RA
APPROVED

Since 2026-03-24
MN RA
APPROVED

Since 2026-03-24

Branch Locations

Davenport, IA • United States

2196 Holliday Dr, Dubuque, IA 52002 • United States

4200 W 115Th Street, Leawood, KS 66211 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Honkamp Krueger Payroll Services, Inc.	Dubuque	IA	02/2015	06/2019
The Advisory Group	Davenport	IA	09/2020	11/2020
The Advisory Group	Davenport	IA	11/2020	03/2021
Planmember Securities Corporation	Carpinteria	CA	11/2020	03/2021
Na - Unemployed	Dubuque	IA	01/2020	08/2020
Honkamp Krueger Financial Services, Inc.	Dubuque	IA	02/2015	01/2020
Isolved Hcm	Dubuque	IA	06/2019	01/2020
The Advisory Group	Davenport	IA	03/2021	02/2024
Planmember Securities Corporation	Carpinteria	CA	03/2021	02/2024
Nikulski Financial	Bettendorf	IA	02/2024	08/2024
Lpl Financial Llc	Muscatine	IA	10/2024	03/2026
Cbi Bank And Trust	Muscatine	IA	09/2024	03/2026
Umb Financial Services Inc	Dubuque	IA	03/2026	Present
Umb Bank	Dubuque	IA	03/2026	Present

02/2015 → 06/2019

Honkamp Krueger Payroll Services, Inc.

Dubuque, IA
09/2020 → 11/2020

The Advisory Group

Davenport, IA
11/2020 → 03/2021

The Advisory Group

Davenport, IA
11/2020 → 03/2021

Planmember Securities Corporation

Carpinteria, CA
01/2020 → 08/2020

Na - Unemployed

Dubuque, IA
02/2015 → 01/2020

Honkamp Krueger Financial Services, Inc.

Dubuque, IA
06/2019 → 01/2020

Isolved Hcm

Dubuque, IA
03/2021 → 02/2024

The Advisory Group

Davenport, IA
03/2021 → 02/2024

Planmember Securities Corporation

Carpinteria, CA
02/2024 → 08/2024

Nikulski Financial

Bettendorf, IA
10/2024 → 03/2026

Lpl Financial Llc

Muscatine, IA
09/2024 → 03/2026

Cbi Bank And Trust

Muscatine, IA
03/2026 → Present

Umb Financial Services Inc

Dubuque, IA
03/2026 → Present

Umb Bank

Dubuque, IA

Previous Registrations

2024-10-04 → 2026-03-27

Lpl Financial Llc

Moline, IL

Moline, IL

Galesburg, IL

Muscatine, IA

Muscatine, IA

San Diego, CA

Muscatine, IA
2024-02-27 → 2024-08-22

Nikulski Financial, Inc.

Bettendorf, IA
2020-12-23 → 2024-02-20

Planmember Securities Corporation

Carpinteria, CA

Davenport, IA
2015-02-18 → 2020-01-15

Avantax Planning Partners, Inc.

Dubuque, IA
2012-05-21 → 2013-02-26

1St Global Advisors Inc

Dallas, TX

Dallas, TX
2010-12-02 → 2011-11-14

Lines Asset Management

Dubuque, IA
1999-01-01 → 2010-07-07

Avantax Planning Partners, Inc.

Dubuque, IA

Other Businesses

UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 03/23/2026, 8 hours per month allocated to UMB Bank during normal business hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-12-22
S63	Uniform Securities Agent State Law Examination	1989-01-20

S66 Uniform Combined State Law Examination

2020-12-22
S63 Uniform Securities Agent State Law Examination

1989-01-20

Designations

Other Names

Roy Clayton Lines

View on SEC IAPD