GD
Gavin J. Doyle
UMB FINANCIAL SERVICES
Galena, IL 61036
Some features on this profile are disabled
CRD#: 4909634
GD
Professional summary
Gavin Johnson Doyle, who also goes by Gavin Doyle, is a registered financial advisor currently at UMB FINANCIAL SERVICES, INC. located in Galena, Illinois.
Gavin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Gavin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gavin Doyle
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) Northwest Illinois Economic Development Asso, Non-Investment Related, Hanover, IL, promotes economic development, 8 hours per month 2) UMB Insurance, investment-related, 928 Grand Blvd., Kansas City, MO, 64106, fixed rate insurance products and services, licensed agent, start date 08/15/2025, 8 hours per month allocated to UMB Insurance during normal business hours 3) UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 08/15/2025, 8 hours per month allocated to UMB Bank during normal business hours
CRS (Client Relationship Summary) - RIA
Click below to view Gavin Johnson Doyle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gavin Johnson Doyle'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 15, 2025 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 716 South Bench Street, Galena, IL 61036Office #2: 2196 Holliday Dr, Dubuque, IA 52002Office #3: 1717 10th Street, Monroe, WI 53566Office #4: 4571 Guilford Road, Rockford, IL 61107RIA
BD
CRD#: 17073
Galena, IL
Current
August 15, 2025 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 716 South Bench Street, Galena, IL 61036Office #2: 2196 Holliday Dr, Dubuque, IA 52002Office #3: 1717 10th Street, Monroe, WI 53566Office #4: 4571 Guilford Road, Rockford, IL 61107RIA
BD
CRD#: 17073
Galena, IL
Past
May 28, 2015 - August 27, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
GALENA, IL
Past
May 28, 2015 - August 27, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
GALENA, IL
Past
October 30, 2007 - July 29, 2014
GLOBAL PORTFOLIO STRATEGIES, INC.
RIA
CRD#: 105812
DUBUQUE, IA
Past
March 21, 2005 - July 29, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
DUBUQUE, IA
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
Arizona(8/15/2025)
IAR
Arizona(8/26/2025)
RR
California(8/15/2025)
IAR
California(8/15/2025)
RR
Colorado(8/15/2025)
RR
Florida(8/15/2025)
IAR
Florida(8/26/2025)
RR
Georgia(8/15/2025)
RR
Illinois(8/15/2025)
IAR
Illinois(8/15/2025)
RR
Indiana(8/15/2025)
RR
Iowa(8/15/2025)
IAR
Iowa(8/15/2025)
RR
Michigan(8/15/2025)
IAR
Michigan(8/29/2025)
RR
Montana(8/15/2025)
IAR
Montana(8/27/2025)
RR
Nebraska(9/24/2025)
IAR
Nebraska(9/25/2025)
RR
New Mexico(8/15/2025)
IAR
New Mexico(8/15/2025)
RR
North Dakota(8/27/2025)
RR
South Dakota(8/27/2025)
RR
West Virginia(8/27/2025)
IAR
West Virginia(9/2/2025)
RR
Wisconsin(8/15/2025)
IAR
Wisconsin(8/15/2025)
RR
Wyoming(8/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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)
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
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#: 17073Galena, IL 61036TRUST BUT VERIFY
Monitor Gavin Doyle
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
