Andrew M. Ellis

Some features on this profile are disabled

CRD#: 1819979

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andrew Michael Ellis, who also goes by Andy Ellis, Drew Ellis, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1988. Andrew had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andy Ellis | Drew Ellis

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 22, 2002 - August 16, 2016

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

KANSAS CITY, MO

Past

February 6, 1996 - August 16, 2016

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

February 16, 1995 - February 23, 1996

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

May 26, 1994 - March 10, 1995

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

May 4, 1992 - February 17, 1995

NATIONAL CITY INVESTMENTS CORPORATION

CRD#: 17365

Past

August 14, 1991 - December 20, 1993

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

September 19, 1989 - August 7, 1991

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

October 20, 1988 - September 26, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 21, 1988 - October 20, 1988

VERAVEST INVESTMENTS, INC.

CRD#: 3960

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".

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/14/1997

General Securities Principal Examination

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UMB FINANCIAL SERVICES INC WRAP FEE PROGRAM BROCHURE (3/5/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew M. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UMB FINANCIAL SERVICES, INC.

NATCITY INSURANCE SERVICES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATIONAL CITY INVESTMENTS CORPORATION

NATCITY INVESTMENTS, INC.

CAL FED INVESTMENTS

INTEGRATED RESOURCES EQUITY CORPORATION

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

UMB FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2002

Series 63

Date: 4/20/1988

SIE

Date: 8/16/2016

Series 7

Date: 7/26/1990

Series 6

Date: 4/20/1988

Series 24

Date: 7/14/1997

Current Firm

UMB FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UMB FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors