CK
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
54 advisors
Number of Clients
1 client
Average Client Portfolio
$3.1M average
Assets Under Management
$3.1M
Fee Structure
This brochure describes UMBFSI’s advisory services. Please refer to the Managed Account Solutions Program Fees section below for additional information about fees associated with your account.
Areas of Practice
Investment Management
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Advisor Information
Office location
222 South Main Street, Salt Lake City, UT, 84111
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Cathy is a licensed agent selling fixed rate insurance products and services for UMB Insurance, dedicating a few hours per week. She also works as a financial services professional providing investment management services for UMB Bank, dedicating nearly full-time hours.
Employment History
Current Registrations
Umb Financial Services, INC.
May 2024 - Present · 1 yr 8 mos
Umb Financial Services, INC.
May 2024 - Present · 1 yr 8 mos
Umb Financial Services, INC. Broker
May 2024 - Present · 1 yr 8 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
November 2014 - February 2024 · 9 yrs 3 mos
Wells Fargo Clearing Services, LLC Broker
September 2014 - February 2024 · 9 yrs 5 mos
State Registrations1 state
UT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.