DH
Daniel J. Horan
UMB FINANCIAL SERVICES
Colorado Springs, CO 80911
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CRD#: 2066218
DH
Professional summary
Daniel Joseph Horan, who also goes by Dan Horan, is a registered financial advisor currently at UMB FINANCIAL SERVICES, INC. located in Colorado Springs, Colorado.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Daniel has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Horan
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.
1) DANIEL J HORAN & BARBARA L HORAN, Rental, NOT INVESTMENT RELATED, RESIDENTIAL RENTAL REAL ESTATE, LANDLORD, 1 HOUR PER WEEK, OWNER, PROPERTY MANAGER. 2) ?UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 11/27/17, 152 hours per month allocated to UMB Bank during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Horan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Horan'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
March 1, 2019 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 502 Security Blvd, Colorado Springs, CO 80911RIA
BD
CRD#: 17073
Colorado Springs, CO
Current
July 24, 2018 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 502 Security Blvd, Colorado Springs, CO 80911RIA
BD
CRD#: 17073
Colorado Springs, CO
Past
June 30, 2016 - August 24, 2016
CETERA ADVISORS LLC
BD
CRD#: 10299
DENVER, CO
Past
May 11, 2013 - September 30, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 4, 2011 - September 4, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GREENWOOD VILLAGE, CO
Past
April 26, 2001 - May 3, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DENVER, CO
Past
June 21, 1990 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 21, 1990 - May 3, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DENVER, CO
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
IAR
Arizona(2/25/2020)
RR
Arizona(2/26/2020)
RR
Colorado(2/15/2019)
IAR
Colorado(3/1/2019)
RR
Florida(5/4/2023)
RR
Illinois(10/5/2023)
RR
Kansas(9/22/2022)
RR
Maryland(8/10/2021)
RR
Massachusetts(10/6/2021)
RR
New Jersey(6/19/2023)
IAR
Texas(2/27/2025)
RR
Texas(3/3/2025)
RR
West Virginia(2/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 17073Colorado Springs, CO 80911TRUST BUT VERIFY
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