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1010 Grand 3Rd Floor, Kansas City, MO 64106 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2026-05-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Umb Bank | Kansas City | MO | 02/2025 | Present |
| Umb Private Wealth Management, Llc | Kansas City | MO | 05/2026 | Present |
| Htlf/Dubuque Bank | Dubuque | IA | 09/1999 | 02/2025 |
Phase Technologies, 222 Disk Drive, Rapid City, SD 57701. Electronic Manufacturer. Not investment related. i am a board member. I invested in the company in 1999, and became a board member in 2020. We have 3 to 4 board meetings per year lasting about 90 minutes each, all outside of trading hours. UMB Bank, N.A. Investment related, 1010 Grand Blvd - 3rd Floor, KC MO 64106, banking related private wealth management, Investment Strategist, 02/2025, 160 hours per month, 140 hours per month during trading, Duties include coordinating investment reviews on complex investment situations, present investment recommendations, keep clients updated, informed and educated regarding markets and their portfolio, prepare reports as needed
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-29 |
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