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Current Employers
Umb Financial Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2004-09-10
  • MO RA
    APPROVED
    Since 2004-09-10

Branch Locations

928 Grand, Kansas City, MO 64106 • United States

1010 Grand, Kansas City, MO 64106 • United States

Overland Park, KS • 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 Scout Brokerage Services Inc Kansas City MO 08/1987 Present
Umb Bank Kansas City MO 08/1987 Present
  • 08/1987 → Present
    Umb Scout Brokerage Services Inc
    Kansas City, MO
  • 08/1987 → Present
    Umb Bank
    Kansas City, MO
Other Businesses

UMB Bank, n.a., not investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, corporate compliance services, start date 08/10/87, 96 hours per month allocated to UMB Bank during normal business hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-09-09
S63 Uniform Securities Agent State Law Examination 1987-01-30
  • S65 Uniform Investment Adviser Law Examination
    2004-09-09
  • S63 Uniform Securities Agent State Law Examination
    1987-01-30

View on SEC IAPD

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