Roy C. Lines
UMB FINANCIAL SERVICES
Dubuque, IA 52002
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CRD#: 1906516
Professional summary
Roy C Lines, CFP®, who also goes by Roy Clayton Lines, is a registered financial advisor currently at UMB FINANCIAL SERVICES, INC. located in Dubuque, Iowa.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Roy has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roy Clayton Lines
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) - RIA
Click below to view Roy C Lines's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roy C Lines'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®
CFP®
Start date: 1999
Experience
Current
March 23, 2026 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 2196 Holliday Dr, Dubuque, IA 52002RIA
BD
CRD#: 17073
Dubuque, IA
Current
March 23, 2026 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 2196 Holliday Dr, Dubuque, IA 52002RIA
BD
CRD#: 17073
Dubuque, IA
Past
October 4, 2024 - March 27, 2026
LPL FINANCIAL LLC
RIA
CRD#: 6413
GALESBURG, IL
Past
October 4, 2024 - March 27, 2026
LPL FINANCIAL LLC
BD
CRD#: 6413
GALESBURG, IL
Past
February 27, 2024 - August 22, 2024
NIKULSKI FINANCIAL, INC.
RIA
CRD#: 151569
BETTENDORF, IA
Past
December 23, 2020 - February 20, 2024
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
Davenport, IA
Past
December 4, 2020 - February 20, 2024
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
Davenport, IA
Past
February 18, 2015 - January 15, 2020
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
DUBUQUE, IA
Past
May 21, 2012 - February 26, 2013
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
DALLAS, TX
Past
April 23, 2012 - February 26, 2013
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
December 2, 2010 - November 14, 2011
LINES ASSET MANAGEMENT
RIA
CRD#: 155612
DUBUQUE, IA
Past
January 1, 1999 - July 7, 2010
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
DUBUQUE, IA
Past
September 30, 1997 - July 9, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
DUBUQUE, IA
Past
January 30, 1997 - September 18, 1997
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
July 13, 1992 - December 23, 1996
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 30, 1991 - July 24, 1992
INFINET SECURITIES, INC.
BD
CRD#: 25976
Past
January 9, 1989 - January 28, 1991
KINGLAND CAPITAL CORPORATION
BD
CRD#: 16341
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(4/1/2026)
IAR
Alabama(4/2/2026)
RR
Arizona(3/24/2026)
IAR
Arizona(4/1/2026)
RR
Arkansas(4/2/2026)
RR
California(3/31/2026)
IAR
California(4/1/2026)
RR
Florida(3/24/2026)
IAR
Florida(4/1/2026)
RR
Illinois(3/24/2026)
IAR
Illinois(3/31/2026)
IAR
Indiana(3/31/2026)
RR
Indiana(4/1/2026)
IAR
Iowa(3/23/2026)
RR
Iowa(4/1/2026)
IAR
Kansas(3/31/2026)
RR
Kansas(4/1/2026)
RR
Maryland(4/3/2026)
IAR
Minnesota(3/24/2026)
RR
Minnesota(4/1/2026)
RR
Montana(3/24/2026)
IAR
Nevada(3/25/2026)
RR
Nevada(4/1/2026)
IAR
New Mexico(3/26/2026)
RR
New Mexico(4/1/2026)
IAR
North Carolina(3/25/2026)
RR
North Carolina(4/1/2026)
RR
Ohio(3/31/2026)
RR
Texas(3/24/2026)
IAR
Texas(3/24/2026)
RR
Washington(3/24/2026)
RR
Wisconsin(3/24/2026)
IAR
Wisconsin(3/26/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2020
General Securities Representative ExaminationGeneral 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#: 17073Dubuque, IA 52002TRUST BUT VERIFY
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