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Employer firm

Umb Financial Services, Inc. CRD 17073

$5.04M regulatory AUM 2,110 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Umb Financial Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2014-08-21
  • MO RA
    APPROVED
    Since 2014-08-21

Branch Locations

928 Grand, Kansas City, MO 64106 • United States

10 South Broadway, St. Louis, MO 63102 • United States

Kansas City, MO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Umb Bank Kansas City MO 08/2014 Present
Umb Financial Services Inc Kansas City MO 08/2014 Present
Previous Registrations
  • 2014-04-03 → 2014-06-27
    Cnbs
    Overland Park, KS
    Overland Park, KS
Other Businesses

UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 08/04/14, 152 hours per month allocated to UMB Bank during normal business hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-20
  • S66 Uniform Combined State Law Examination
    2002-06-20
Other Names
  • Darci Nicole Frasier
  • Darci Nicole Frasier

View on SEC IAPD

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