Peter F. Braun

UMB FINANCIAL SERVICES

Kansas City, MO 64106

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CRD#: 2139389

Professional summary

Peter F Braun, who also goes by Peter Braun, is a registered financial advisor currently at UMB FINANCIAL SERVICES, INC. located in Kansas City, Missouri.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter Braun

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) UMB Insurance, investment-related, 928 Grand Blvd., Kansas City, MO, 64106, fixed rate insurance products and services, licensed agent, start date 12/01/1993, 8 hours per month allocated to UMB Insurance during normal business hours. 2) UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 01/23/1989, 8 hours per month allocated to UMB Bank during normal business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter F Braun's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Peter F Braun's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 22, 2002 - Present

UMB FINANCIAL SERVICES, INC.

Office #1: 1010 Grand, Kansas City, MO 64106

RIA

CRD#: 17073

Kansas City, MO

Current

March 25, 1992 - Present

UMB FINANCIAL SERVICES, INC.

Office #1: 1010 Grand, Kansas City, MO 64106

RIA

CRD#: 17073

Kansas City, MO

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(4/2/2024)

IAR

Alabama
(4/2/2024)

Alaska
(5/12/2025)

IAR

Alaska
(5/12/2025)

Arizona
(8/28/1996)

IAR

Arizona
(7/29/2019)

Arkansas
(11/3/2017)

IAR

Arkansas
(11/3/2017)

California
(7/30/2019)

IAR

California
(10/27/2023)

Colorado
(12/17/2002)

IAR

Colorado
(11/1/2011)

District of Columbia
(8/7/1998)

IAR

District of Columbia
(7/23/2021)

Florida
(9/3/1996)

IAR

Florida
(9/2/2010)

Georgia
(12/22/2021)

IAR

Georgia
(5/1/2025)

Hawaii
(5/1/2025)

Idaho
(10/26/2023)

Illinois
(7/30/2019)

IAR

Illinois
(7/30/2019)

Indiana
(11/10/2020)

Iowa
(5/2/2025)

IAR

Iowa
(5/9/2025)

Kansas
(5/8/1992)

IAR

Kansas
(4/7/2004)

Kentucky
(5/1/2025)

IAR

Kentucky
(5/2/2025)

Maryland
(5/30/2024)

IAR

Maryland
(5/30/2024)

Minnesota
(10/3/2019)

IAR

Minnesota
(10/3/2019)

Missouri
(5/6/1992)

IAR

Missouri
(11/22/2002)

Nebraska
(8/7/1998)

IAR

Nebraska
(11/1/2017)

IAR

Nevada
(5/1/2025)

New Mexico
(10/9/2019)

IAR

New York
(5/1/2025)

IAR

North Carolina
(12/12/2023)

North Carolina
(12/15/2023)

North Dakota
(1/14/2025)

IAR

North Dakota
(1/17/2025)

Ohio
(10/26/2023)

Oklahoma
(4/21/2022)

IAR

Oklahoma
(6/29/2022)

South Carolina
(10/3/2019)

IAR

South Carolina
(10/3/2019)

South Dakota
(5/25/2022)

IAR

Texas
(7/30/2019)

Texas
(8/1/2019)

Virginia
(10/27/2023)

Washington
(2/5/2010)

IAR

Washington
(6/20/2012)

West Virginia
(3/11/2024)

IAR

West Virginia
(3/11/2024)

Wisconsin
(4/26/2022)

IAR

Wisconsin
(4/26/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/1992

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 4/5/1991

Municipal Securities Representative Examination

SRO Registrations

FINRA

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)

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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

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.

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Firm Stability Insights

Peter F. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter F Braun's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Peter F Braun's CRS (Customer Relationship Summary).

Certified licenses

Experience

UMB FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

UMB FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2002

Series 63

Date: 4/30/1992

SIE

Date: 10/1/2018

Series 7

Date: 3/16/1992

Series 52

Date: 4/5/1991

FINRA

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

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