CRD #17073 · FINRA BrokerCheck + SEC IAPD

UMB Financial Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UMB Financial Services, Inc. ranks #1,930 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #13 of 36 on the same disclosure sort used on the state browse page. UMB Financial Services, Inc. carries 4 BrokerCheck disclosures across 105 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
105
branch offices
4
disclosures
#1,930 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 17073 UMB Financial Services, Inc.

UMB Financial Services, Inc. · Grade B · 4 disc · 0.04/office · Large firm

  • CRD 17073
  • GRADE B
  • DISC 4
  • REG 1
  • ARB 3
  • CIV 0
  • BRANCH 105
  • PER-OFF 0.04
  • RANK #1,930 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Geneos Wealth Management, Inc. (0.04 disc/office)

Geneos Wealth Managemen…0.04&Partners0.04United Planners' Financ…0.04UMB Financial Servi… (this)0.04
Disclosures per office among large firm peers (lower is cleaner)

UMB Financial Services, Inc. ranks #1,930 of 20,055 by disclosure count among graded broker-dealers; light load at 0.04 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

105 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

1 action

25% of all disclosures

Disclosures per office

0.04 per office

4 ÷ 105 offices

UMB Financial Services, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 93% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 3
Civil Events 0
Total 4

Counts for UMB Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 3 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Kansas City, MO, 64106
Formed
10/07/1985
State of Formation
Missouri
CRD Number
17073
SEC Number
34999

Lower disclosures per office

UMB Financial Services, Inc. in the heavier-disclosure third

UMB Financial Services, Inc. carries 4 BrokerCheck disclosures across 105 branch offices - a heavier-third raw book among graded firms (#1,930 of 20,055). Customer-facing events dominate: 3 arbitration and 0 civil versus 1 regulatory (25% regulator share).

UMB Financial Services, Inc. runs 0.04 disclosures per branch office (cleaner than 93% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of UMB Financial Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Missouri cohort · 0.12× state average

UMB Financial Services, Inc. sits below the Missouri disclosure average

UMB Financial Services, Inc. reports 4 BrokerCheck disclosures, 0.12× the Missouri average of 34.3, lighter than most of the 36 graded firms filed there.

In Missouri, 9 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Missouri state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does UMB Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UMB Financial Services, Inc. ranks #1,930 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #13 of 36 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for UMB Financial Services, Inc.?
A grade of B reflects UMB Financial Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 4 total disclosures across 105 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does UMB Financial Services, Inc. have?
UMB Financial Services, Inc. has 4 total FINRA disclosures, including 1 regulatory event, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UMB Financial Services, Inc.?
UMB Financial Services, Inc. operates 105 branch offices and is classified by FINRA as a small firm, registered in MO (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify UMB Financial Services, Inc.'s disciplinary record?
You can verify UMB Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17073. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid UMB Financial Services, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. UMB Financial Services, Inc. carries 4 disclosures across 105 branch offices (about 0.04 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for UMB Financial Services, Inc., both outside MO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.