James W. Peavey

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CRD#: 2490714

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.

James William Peavey, CFP® was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1994. James had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Past

July 12, 2019 - December 19, 2022

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

Kansas City, MO

Past

August 15, 2017 - November 22, 2019

RUBINBROWN ADVISORS LLC

RIA

CRD#: 116909

KANSAS CITY, MO

Past

November 12, 2010 - June 29, 2017

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

November 12, 2010 - June 29, 2017

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

April 3, 2007 - December 9, 2008

AMERICAN CENTURY ADVISORY SERVICES, INC.

RIA

CRD#: 121974

KANSAS CITY, MO

Past

April 3, 2007 - December 9, 2008

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

January 27, 2003 - April 27, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

OVERLAND PARK, KS

Past

April 3, 2000 - April 27, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

OVERLAND PARK, KS

Past

January 5, 1996 - March 9, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

May 31, 1994 - April 4, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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 66

Date: 7/28/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/1/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/29/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/18/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2010

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 9/1/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/1/2000

General Securities Sales Supervisor - Options Module 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)

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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

James W. Peavey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RUBINBROWN ADVISORS LLC

WADDELL & REED

WADDELL & REED

AMERICAN CENTURY ADVISORY SERVICES, INC.

AMERICAN CENTURY INVESTMENT SERVICES INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

UMB FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2000

Series 63

Date: 8/1/1994

SIE

Date: 6/29/2017

Series 7

Date: 3/7/1996

Series 6

Date: 5/18/1994

Series 24

Date: 12/22/2010

Series 10

Date: 9/1/2000

Series 9

Date: 9/1/2000

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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