Daniel D. Callahan

UMB FINANCIAL SERVICES

Austin, TX

Some features on this profile are disabled

CRD#: 2618201

Professional summary

Daniel Dequin Callahan is a registered financial professional currently at UMB FINANCIAL SERVICES, INC. located in Austin, Texas.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 31, Series 7 and Series 24 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) - BD

Click below to view Daniel Dequin Callahan'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

August 14, 2024 - Present

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

Austin, TX

Past

April 26, 2021 - September 6, 2023

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

July 29, 2019 - February 11, 2021

D.A. DAVIDSON & CO.

CRD#: 199

AUSTIN, TX

Past

December 19, 2016 - July 26, 2019

PFS INVESTMENTS INC.

CRD#: 10111

LONGVIEW, TX

Past

December 17, 2012 - January 23, 2014

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642

HOUSTON, TX

Past

April 2, 2007 - December 10, 2012

FIRST PUBLIC, LLC

CRD#: 128180

AUSTIN, TX

Past

September 7, 2004 - April 16, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

November 15, 2002 - August 2, 2004

BLACKROCK EXECUTION SERVICES

CRD#: 39438

NEW YORK, NY

Past

May 14, 2001 - October 3, 2001

PROTRADER SECURITIES L.P.

CRD#: 35233

AUSTIN, TX

Past

October 23, 1997 - September 7, 2000

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

April 7, 1997 - September 4, 1997

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

June 13, 1995 - May 6, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

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

Texas
(8/16/2024)

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

Series 63

Date: 3/20/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/8/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 31

Date: 7/11/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/12/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/10/2000

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel D. Callahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Dequin Callahan's CRS (Customer Relationship Summary).

Certified licenses

Experience

UMB FINANCIAL SERVICES, INC.

D.A. DAVIDSON & CO.

PFS INVESTMENTS INC.

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

FIRST PUBLIC, LLC

CHARLES SCHWAB & CO., INC.

BLACKROCK EXECUTION SERVICES

PROTRADER SECURITIES L.P.

E*TRADE SECURITIES LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

UMB FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2017

SIE

Date: 10/1/2018

Series 55

Date: 1/8/2001

Series 31

Date: 7/11/1995

Series 7

Date: 6/12/1995

Series 24

Date: 11/10/2000

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

Similar Advisors