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1010 Grand 3Rd Floor, Kansas City, MO 64106 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2026-05-13 |
| MO | RA | APPROVED | 2026-05-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lawing Financial Inc. | Overland Park | KS | 08/2006 | 10/2017 |
| Cambridge Investment Research, Inc | Fairfield | IA | 07/2010 | 04/2018 |
| Prime Capital Investment Advisors, Llc | Overland Park | KS | 07/2017 | 02/2025 |
| Private Client Services | Louisville | KY | 04/2018 | 02/2025 |
| Umb Bank, N.A. | Kansas City | MO | 02/2025 | Present |
| Umb Private Wealth Management, Llc | Kansas City | MO | 05/2026 | Present |
UMB Bank, N.A., investment related, 1010 Grand Blvd 3rd FL KCMO 64106, compliance analyst, 02/2025, 160 per month, 140 hours per month during trading, duties include performing audit/review functions, maintenance of compliance reporting system, project management as needed
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-30 |
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