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Current Employers
Umb Financial Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-06-03
  • PA RA
    APPROVED
    Since 2026-06-03

Branch Locations

Schnecksville, PA • United States

928 Grand, Kansas City, MO 64106 • 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
Capstone Asset Management, Llc Bethlehem PA 09/2010 05/2026
Investment Professionals Inc San Antonio TX 06/2012 09/2018
Umb Bank Kansas City MO 05/2026 Present
Umb Financial Services Inc Kansas City MO 06/2026 Present
Ameriprise Financial Services, Inc Bethlehem PA 06/2018 03/2020
Ameriprise Financial Services, Llc Schnecksville PA 03/2020 05/2026
  • 09/2010 → 05/2026
    Capstone Asset Management, Llc
    Bethlehem, PA
  • 06/2012 → 09/2018
    Investment Professionals Inc
    San Antonio, TX
  • 05/2026 → Present
    Umb Bank
    Kansas City, MO
  • 06/2026 → Present
    Kansas City, MO
  • 06/2018 → 03/2020
    Ameriprise Financial Services, Inc
    Bethlehem, PA
  • 03/2020 → 05/2026
    Schnecksville, PA
Previous Registrations
  • 2018-08-01 → 2026-06-05
    Schnecksville, PA
    Schnecksville, PA
    Schnecksville, PA
  • 2011-03-17 → 2025-10-01
    Capstone Asset Management
    Schnecksville, PA
  • 2012-06-29 → 2016-10-20
    Investment Professionals, Inc.
    Bethlehem, PA
    San Antonio, TX
  • 2008-08-12 → 2012-07-23
    Allentown, PA
  • 2009-09-02 → 2010-12-31
    Asset Management Partners, Llc
    Allentown, PA
  • 2006-08-10 → 2008-12-31
    Asset Management Partners Inc
    Bethlehem, PA
  • 2008-07-30 → 2008-08-05
    Bethlehem, PA
Other Businesses

(1) Psalm 92 LLC. 4439 W. Wyndemere Circle, Schnecksville, PA, 18078. Investment-Related. 03/31/2023. Title: Owner. 8-10 hours per month, 4 during trading hours. Role: Operations. (2) Capstone Asset Management LLC. Title: President/Owner. Role: Operations. W. Wyndemere Circle, Schnecksville, PA, 18078. Investment-Related. 09/01/2010. 8-10 hours per month, 4 during trading hours. (3) UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 05/29/2026, 152 hours per month allocated to UMB Bank during normal business hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-09
S63 Uniform Securities Agent State Law Examination 1997-10-23
  • S66 Uniform Combined State Law Examination
    2006-08-09
  • S63 Uniform Securities Agent State Law Examination
    1997-10-23
Other Names
  • John A Schick

View on SEC IAPD

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