PK
Phillip M. Klevorn
UMB FINANCIAL SERVICES
ST. LOUIS, MO 63102
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CRD#: 4852039
PK
Professional summary
Phillip Michael Klevorn, who also goes by Phillip Klevorn, is a registered financial advisor currently at UMB FINANCIAL SERVICES, INC. located in St. Louis, Missouri.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Phillip has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phillip Klevorn
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) CITY OF ST LOUIS TIF COMMISSION; 1015 LOCUST, ST. LOUIS, MO 63101, DESCRIPTION: MEMBER OF 9 MEMBER COMMISSION THAT REVIEWS AND RECOMMENDS ALL REQUESTS FOR TAX INCREMENT FINANCING PROGRAMS WITHIN CITY OF ST. LOUIS, NON-PROFIT ORGANIZATION COMMISSION IS NOT TRADED, 3 HOURS PER MONTH. 2) PHIL KLEVORN LLC 2, RENTAL PROPERTY ACTIVITY, FACILITY THAT IS RENTED OUT AS INVESTMENT, FOR PROFIT, 1 Hour PER MONTH, 5418 RHODES, ST. LOUIS MO 63109, 3) International Institute of St. Louis, Non Profit Social Service Agency, 3401 Arsenal, St. Louis MO 63118, Advisory Board Member, 1 hr/week, 0 Comp, The International Institute is a non profit whose core mission is refugee re-settlement and immigration assimilation. 4) UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 02/02/15, 152 hours per month allocated to UMB Bank during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Michael Klevorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip Michael Klevorn'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
February 5, 2015 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 2 South Broadway, St. Louis, MO 63102RIA
BD
CRD#: 17073
ST. LOUIS, MO
Current
February 5, 2015 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 2 South Broadway, St. Louis, MO 63102RIA
BD
CRD#: 17073
ST. LOUIS, MO
Past
October 23, 2009 - January 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAINT LOUIS, MO
Past
October 23, 2009 - January 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAINT LOUIS, MO
Past
February 14, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
ST. LOUIS, MO
Past
October 15, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ST. LOUIS, 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".
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
RR
Illinois(11/4/2016)
IAR
Illinois(11/7/2016)
RR
Missouri(2/5/2015)
IAR
Missouri(2/5/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
