YE
Yvette A. Espinoza-engh
UMB FINANCIAL SERVICES
Dallas, TX 75206
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CRD#: 2369363
YE
Professional summary
Yvette Ann Espinoza-engh, who also goes by Yvette Espinoza, Yvette Ann Maldonado, is a registered financial professional currently at UMB FINANCIAL SERVICES, INC. located in Dallas, Texas.
Yvette is registered as a RR (Registered Representative) and started their career in finance in 1995. Yvette has worked at 6 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Yvette Espinoza | Yvette Ann Maldonado
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 Yvette Ann Espinoza-engh'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
August 17, 2017 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 5910 N Central Express Way Suite 1900, Dallas, TX 75206RIA
BD
CRD#: 17073
Dallas, TX
Past
June 26, 2015 - August 31, 2017
CFG CAPITAL MARKETS, LLC
BD
CRD#: 39468
BALTIMORE, MD
Past
May 2, 2013 - June 10, 2015
ESPOSITO SECURITIES, LLC
BD
CRD#: 143710
DALLAS, TX
Past
December 2, 2011 - May 1, 2013
TEJAS SECURITIES GROUP, INC.
BD
CRD#: 36705
DALLAS, TX
Past
February 24, 1998 - December 5, 2011
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
June 12, 1995 - February 12, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
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
Alabama(6/11/2024)
RR
Arizona(10/28/2019)
RR
California(10/24/2019)
RR
Indiana(12/8/2023)
RR
Massachusetts(2/14/2025)
RR
Michigan(4/19/2018)
RR
Missouri(5/15/2018)
RR
Montana(1/5/2021)
RR
Nebraska(9/4/2020)
RR
New Jersey(9/22/2020)
RR
New York(3/6/2018)
RR
Ohio(11/13/2017)
RR
Oklahoma(9/3/2024)
RR
Pennsylvania(5/31/2023)
RR
Texas(8/17/2017)
RR
Virginia(8/28/2023)
RR
Wisconsin(7/10/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 3/11/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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#: 17073Dallas, TX 75206TRUST BUT VERIFY
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