MN
Mark A. Neff
UMB FINANCIAL SERVICES
Kansas City, MO 64106
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CRD#: 1316155
MN
Professional summary
Mark Andrew Neff is a registered financial professional currently at UMB FINANCIAL SERVICES, INC. located in Kansas City, Missouri.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 10 firms and has passed the Series 63, Series 79TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Neff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 28, 2025 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 928 Grand, Kansas City, MO 64106RIA
BD
CRD#: 17073
Kansas City, MO
Past
April 17, 2019 - April 3, 2025
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
CENTER VALLEY, PA
Past
November 13, 2017 - December 23, 2019
PNC FIG ADVISORY, INC.
BD
CRD#: 143093
ALLENTOWN, PA
Past
January 14, 2009 - December 22, 2017
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ALLENTOWN, PA
Past
July 10, 2007 - January 13, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
BETHLEHEM, PA
Past
June 5, 2006 - July 10, 2007
RYAN BECK & CO.
BD
CRD#: 3248
BETHLEHEM, PA
Past
January 3, 2006 - May 25, 2006
BNK ADVISORY GROUP, INC. (SUCCESSOR)
BD
CRD#: 135867
BETHLEHEM, PA
Past
November 27, 1992 - December 31, 2005
BNK ADVISORY GROUP, INC.
BD
CRD#: 30209
BETHLEHEM, PA
Past
October 24, 1986 - August 3, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
July 5, 1985 - March 5, 1986
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
December 21, 1984 - August 3, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UF
UMB FINANCIAL SERVICES, INC.
SCOUT BROKERAGE SERVICES, INC. | UNITED MISSOURI BROKERAGE SERVICES, INC. | UMB SCOUT BROKERAGE SERVICES, INC. | UMB FINANCIAL SERVICES, INC.
CRD#: 17073 / SEC#: 801-62967, 8-34999
RIA
Registered Investment Advisory firm - SEC (4/9/2004 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)Illinois
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Pennsylvania(10/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/1/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UF
UMB FINANCIAL SERVICES, INC.
SCOUT BROKERAGE SERVICES, INC. | UNITED MISSOURI BROKERAGE SERVICES, INC. | UMB SCOUT BROKERAGE SERVICES, INC. | UMB FINANCIAL SERVICES, INC.
CRD#: 17073 / SEC#: 801-62967, 8-34999
RIA
Registered Investment Advisory firm - SEC (4/9/2004 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)Illinois
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
928 Grand Avenue, Kansas City, MO 64106
Mailing Address
928 Grand Avenue, Kansas City, MO 64106
Phone number
(816) 842-2222
Established
Missouri since 10/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
51
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UMB FINANCIAL CORP | STOCKHOLDER | |
| GATES, ANGELA GAYE | FINOP / PRESIDENT / DIRECTOR / PFO / POO / TREASURER | 2626070 |
| KLEVORN, PHILLIP MICHAEL | DIRECTOR | 4852039 |
| LONG, CHRISTOPHER SHELDON | CHIEF COMPLIANCE OFFICER | 6076540 |
| MASON, PHILLIP JAMES | DIRECTOR | 6246519 |
| MASSEY, THOMAS HAROLD | DIRECTOR | 2062653 |
| MAXWELL, JEFFREY THOMAS | CAO, SVP | 2626068 |
| SKILLING, BENJAMIN JOSEPH | DIRECTOR | 4686294 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 3,070,243 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UMB FINANCIAL SERVICES, INC.
CRD#: 17073Kansas City, MO 64106TRUST BUT VERIFY
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