CK
Cathy R. Keen
UMB FINANCIAL SERVICES
Salt Lake City, UT 84101
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CRD#: 5301631
CK
Professional summary
Cathy Renee Keen, who also goes by Cathy Renee Crowder, Cathy Renee Rawstorne, is a registered financial advisor currently at UMB FINANCIAL SERVICES, INC. located in Salt Lake City, Utah.
Cathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Cathy has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Renee Crowder | Cathy Renee Rawstorne
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.
UMB Insurance, investment-related, 928 Grand Blvd., Kansas City, MO, 64106, fixed rate insurance products and services, licensed agent, start date 05/22/2024, 8 hours per month allocated to UMB Insurance during normal business hours. UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 03/04/2024, 144 hours per month allocated to UMB Bank during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Cathy Renee Keen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cathy Renee Keen'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
May 22, 2024 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 222 South Main Street, Salt Lake City, UT 84101RIA
BD
CRD#: 17073
Salt Lake City, UT
Current
May 22, 2024 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 2 South Broadway, St. Louis, MO 63102RIA
BD
CRD#: 17073
ST. LOUIS, MO
Past
November 21, 2014 - February 13, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OGDEN, UT
Past
September 6, 2014 - February 13, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OGDEN, UT
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
Utah(5/22/2024)
IAR
Utah(5/22/2024)
Exams
State Security Law 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)
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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.
Company Information
UMB FINANCIAL SERVICES, INC.
CRD#: 17073Salt Lake City, UT 84101TRUST BUT VERIFY
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