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Cody Stratton Carpenter

Cody S. Carpenter

UMB ASSET MANAGEMENT | Emerging Wealth Manager
Leawood, KS 66211
Some features on this profile are disabled
CRD#: 5261001
Cody Stratton Carpenter

Professional summary

Cody Stratton Carpenter, CFP®, who also goes by Cody S Carpenter, is a registered financial advisor currently at UMB ASSET MANAGEMENT, LLC located in Leawood, Kansas.

Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Cody has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?
Financial planning
Trading individual securities
Trust & estate planning
Philanthropic services
Institutional consulting
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
50K
Are you a "fiduciary"?
Yes

Aliases

Cody S Carpenter

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) - RIA

Click below to view Cody Stratton Carpenter'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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Current

May 19, 2026 - Present

UMB ASSET MANAGEMENT, LLC

Office #1: 4200 W. 115th St - Suite #100, Leawood, KS 66211
RIA
CRD#: 306374
Leawood, KS
Past

September 9, 2022 - April 30, 2026

UMB FINANCIAL SERVICES, INC.

RIA
CRD#: 17073
Leawood, KS
Past

December 7, 2018 - August 2, 2022

CREATIVE PLANNING

RIA
CRD#: 105348
OVERLAND PARK, KS
Past

August 20, 2010 - December 5, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SPRINGFIELD, 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".
UA
UMB ASSET MANAGEMENT, LLC
UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Arkansas
(5/19/2026)
IAR
California
(5/19/2026)
IAR
Colorado
(5/19/2026)
IAR
Illinois
(5/19/2026)
IAR
Iowa
(5/19/2026)
IAR
Kansas
(5/19/2026)
IAR
Michigan
(5/19/2026)
IAR
Minnesota
(5/19/2026)
IAR
Missouri
(5/19/2026)
IAR
Nebraska
(5/19/2026)
IAR
Nevada
(5/19/2026)
IAR
New Mexico
(5/19/2026)
IAR
New York
(5/19/2026)
IAR
Oregon
(5/19/2026)
IAR
Pennsylvania
(5/19/2026)
IAR
Texas
(5/19/2026)
IAR
Virginia
(5/19/2026)
IAR
Washington
(5/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/31/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

UA
UMB ASSET MANAGEMENT, LLC
UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)
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Contact information

Main Address
1010 Grand 3rd Floor, Kansas City, MO 64106
Mailing Address
Phone number
(816) 860-7000
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UMB ASSET MANAGEMENT LLC - PART 2A (6/30/2025)

Regulatory assets under management

Total Number of Accounts4
AUM (Assets Under Management)$ 47,495,486

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 ASSET MANAGEMENT, LLC

Emerging Wealth ManagerCRD#: 306374Leawood, KS 66211

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Contact information

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