# EDGAR Filing Document

**Accession Number:** 0000780789
**File Stem:** 0000780789-26-000003
**Filing Date:** 2026-3
**Character Count:** 13185
**Document Hash:** f84803cd42cb9c251982cb893b0c7b3c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000780789-26-000003.hdr.sgml**: 20260324

**ACCESSION NUMBER**: 0000780789-26-000003

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260324

**DATE AS OF CHANGE**: 20260324

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** UMB FINANCIAL SERVICES, INC.
- **CENTRAL INDEX KEY:** 0000780789

**ORGANIZATION NAME:**
- **EIN:** 431381257
- **STATE OF INCORPORATION:** MO
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02509
- **FILM NUMBER:** 26784900

**BUSINESS ADDRESS:**
- **STREET 1:** 928 GRAND AVENUE
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64106
- **BUSINESS PHONE:** 816-860-8790

**MAIL ADDRESS:**
- **STREET 1:** 928 GRAND AVENUE
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64106

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** UMB SCOUT BROKERAGE SERVICES, INC.
- **DATE OF NAME CHANGE:** 20020611

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** UMB SCOUT BROKERAGE SERVICES INC                        /BD
- **DATE OF NAME CHANGE:** 20020611

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SCOUT BROKERAGE SERVICES INC
- **DATE OF NAME CHANGE:** 19980519

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000780789

**Filer CCC:** XXXXXXXX

**Contact Name:** Christopher Long

**Contact Phone:** 816-860-8763

**Contact Email:** christopher.long@umb.com

**Notification Emails:** angie.gates@umb.com, jeffrey.maxwell@umb.com, leila.douglas@umb.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** UMB FINANCIAL SERVICES, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 17073

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 43-1381257

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02509

- **Broker-Dealer:** SEC File No: 008-34999, CRD No: 17073

- **SEC-Registered Investment Adviser:** SEC File No: 801-62967, CRD No: 17073

**E. Principal Office and Place of Business:** 928 GRAND AVENUE, 4th Floor, KANSAS CITY, MO, 64106

**Telephone Number:** 816-860-8796

**Additional Offices of Employment:**

- **Office #1 (Add):**  | Phone: 303-839-2287

- **Office #2 (Add):**  | Phone: 602-337-6965

- **Office #3 (Add):** 7155 LAKE DRIVE, SUITE 120, WEST DES MOINES, IA, 50266 | Phone: 515-368-6073

- **Office #4 (Add):**  | Phone: 314-477-8168

**Mailing Address is Different from Principal Office:** No

**F. Website:** https://www.umb.com/institutional-banking/capital-markets-division/municipal-advisory

**G. Chief Compliance Officer (CCO):**

**Name:** CHRISTOPHER SHELDON LONG

**Phone Number:** 816-860-8763

**Email:** christopher.long@umb.com

**H. Business Affiliates:**

- **Name:** UMB FINANCIAL CORPORATION

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** MO

**D. Date of Organization:** 10-07-1985

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 8

**B. Municipal Advisory Activities - Employees:** 6

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 6

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 55

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection, Brokerage Of MEI

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Insurance:** Actively Engaged: Yes, Primary Business: —

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Banking/Thrift institution, Trust Company, Insurance company or agency, Sponsor or syndicator of limited partnerships, Banking/Thrift institution, Trust Company, Insurance company or agency, Investment Adviser

**Total Associated Persons:** 3

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** Yes

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                     | Title/Status             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| UMB FINANCIAL CORP       | STOCKHOLDER              | 05-01-2015      | E - 75% or more   | Yes               | 43-0903811   |  |
| CHRISTOPHER SHELDON LONG | CHIEF COMPLIANCE OFFICER | 01-20-2020      | NA - less than 5% | No                |  | 6076540      |
| ANGELA GAYE GATES        | PRESIDENT / TREASURER    | 10-01-2009      | NA - less than 5% | No                |  | 2626070      |
| PHILLIP JAMES MASON      | DIRECTOR                 | 01-01-2017      | NA - less than 5% | No                |  | 6246519      |
| JEFFREY THOMAS MAXWELL   | CAO                      | 08-01-2005      | NA - less than 5% | No                |  | 2626068      |
| BENJAMIN JOSEPH SKILLING | DIRECTOR                 | 01-01-2023      | NA - less than 5% | No                |  | 4686294      |
| Thomas Harold Massey     | Director                 | 01-02-2023      | NA - less than 5% | No                |  | 2022653      |
| Phillip Michael Klevorn  | Director                 | 10-01-2024      | NA - less than 5% | No                |  | 4852039      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                     | Title/Status             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | UMB FINANCIAL CORP       | STOCKHOLDER              | 05-01-2015      | E - 75% or more   | Yes               | 43-0903811   |  |
|  | Direct      |  | CHRISTOPHER SHELDON LONG | CHIEF COMPLIANCE OFFICER | 01-20-2020      | NA - less than 5% | No                |  | 6076540      |
|  | Direct      |  | ANGELA GAYE GATES        | PRESIDENT / TREASURER    | 10-01-2009      | NA - less than 5% | No                |  | 2626070      |
|  | Direct      |  | PHILLIP JAMES MASON      | DIRECTOR                 | 01-01-2017      | NA - less than 5% | No                |  | 6246519      |
|  | Direct      |  | JEFFREY THOMAS MAXWELL   | CAO                      | 08-01-2005      | NA - less than 5% | No                |  | 2626068      |
|  | Direct      |  | BENJAMIN JOSEPH SKILLING | DIRECTOR                 | 01-01-2023      | NA - less than 5% | No                |  | 4686294      |
| Amend  | Direct      |  | Thomas Harold Massey     | Director                 | 01-02-2023      | NA - less than 5% | No                |  | 2062653      |
|  | Direct      |  | Phillip Michael Klevorn  | Director                 | 10-01-2024      | NA - less than 5% | No                |  | 4852039      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 17073

  - **Filed On (AP):** Form ADV/BD/U4 for UMB FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 263331000053290537

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17073

  - **Filed On (AP):** Form ADV/BD/U4 for UMB FINANCIAL SERVICES, INC

  - **Disclosure Number:** 26333100053290537

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for UMB FINANCIAL SERVICES, INC.

- **CRD Number:** 17073

- **Disclosure Number:** 26333100053290537

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17073

  - **Filed On (AP):** Form ADV/BD/U4 for UMB FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 56333100053290537

### Execution Page

**Signature:** Christopher Long

**Signer Name:** Christopher Long

**Title:** CCO

**Date:** 03-24-2026

**CRD Number:** 6076540