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Investment Adviser Firm Summary

UMB FINANCIAL SERVICES, INC. (CRD# 17073 / SEC# 8-34999, 801-62967)
Alternate Names: SCOUT BROKERAGE SERVICES, INC. , UMB FINANCIAL SERVICES, INC. , UMB SCOUT BROKERAGE SERVICES, INC. , UNITED MISSOURI BROKERAGE SERVICES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/09/2004
Arkansas Terminated 04/15/2004
Colorado Terminated 04/15/2004
Illinois Terminated 04/13/2004
Kansas Terminated 04/13/2004
Missouri Terminated 04/13/2004
Nebraska Terminated 04/13/2004
Oklahoma Terminated 04/13/2004

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 07/22/2011
Alaska 11/08/2017
Arizona 11/17/2006
Arkansas 04/15/2004
California 01/03/2006
Colorado 04/09/2004
Florida 06/12/2009
Georgia 06/08/2009
Hawaii 01/20/2010
Idaho 01/03/2006
Illinois 04/09/2004
Indiana 05/01/2009
Iowa 04/27/2012
Kansas 04/09/2004
Maine 04/03/2007
Maryland 05/13/2011
Massachusetts 10/31/2012
Michigan 04/07/2014
Minnesota 03/05/2012
Mississippi 12/01/2010
Missouri 04/09/2004
Nebraska 04/09/2004
Nevada 02/25/2013
New Jersey 06/15/2009
New Mexico 04/12/2012
New York 01/28/2016
North Carolina 06/09/2008
North Dakota 03/24/2014
Ohio 05/04/2009
Oklahoma 04/09/2004
Pennsylvania 08/09/2010
South Carolina 04/04/2011
South Dakota 06/21/2013
Tennessee 02/21/2017
Texas 07/14/2008
Utah 11/08/2017
Virginia 01/08/2018
Washington 06/05/2009
Wisconsin 03/25/2011
Wyoming 11/08/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser