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928 Grand Blvd 4Th Floor, Kansas City, MO 64106 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-03-27 |
| KY | RA | APPROVED | 2024-01-11 |
| CA | RA | APPROVED | 2022-07-05 |
| FL | RA | APPROVED | 2022-04-29 |
| KS | RA | APPROVED | 2021-04-22 |
| AZ | RA | APPROVED | 2020-12-22 |
| OK | RA | APPROVED | 2020-06-12 |
| IL | RA | APPROVED | 2017-09-12 |
| MO | RA | APPROVED | 2017-09-12 |
Branch Locations
7700 Forsyth Blvd Suite 120, Clayton, MO 63105 • United States
401 N Bluff Rd, Collinsville, IL 62234 • United States
4200 W 115Th Street, Leawood, KS 66211 • United States
Collinsville, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Swbc Investment Services, Llc | San Antonio | TX | 06/2008 | 09/2017 |
| Umb Bank | Clayton | MO | 09/2017 | Present |
| Umb Financial Services Inc | Clayton | MO | 09/2017 | Present |
| Umb Insurance Inc | Clayton | MO | 09/2017 | Present |
1) UMB Insurance, investment-related, 928 Grand Blvd., Kansas City, MO, 64106, fixed rate insurance products and services, licensed agent, start date 09/18/2017, 8 hours per month allocated to UMB Insurance during normal business hours. 2) UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 09/11/2017, 8 hours per month allocated to UMB Bank during normal business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-27 |
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