John L. Bartsch

UMB ASSET MANAGEMENT

Denver, CO 80202-5602

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CRD#: 5338665

Professional summary

John Lester Bartsch, who also goes by John Bartsch, is a registered financial advisor currently at UMB ASSET MANAGEMENT, LLC located in Denver, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. John has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Bartsch

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 John Lester Bartsch'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

May 11, 2026 - Present

UMB ASSET MANAGEMENT, LLC

Office #1: 1670 Broadway Suite 2200, Denver Hub, Denver, CO 80202-5602

RIA

CRD#: 306374

Denver, CO

Past

June 5, 2014 - February 28, 2017

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

FRISCO, CO

Past

March 14, 2014 - February 28, 2017

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

FRISCO, CO

Past

May 2, 2013 - February 11, 2014

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

AURORA, CO

Past

April 20, 2011 - August 18, 2011

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

NEWPORT BEACH, CA

Past

June 26, 2007 - June 4, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FOOTHILL RANCH, CA

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 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

Arizona
(5/15/2026)

IAR

California
(5/11/2026)

IAR

Colorado
(5/11/2026)

IAR

Florida
(5/15/2026)

IAR

Hawaii
(5/11/2026)

IAR

Idaho
(5/11/2026)

IAR

Kansas
(5/11/2026)

IAR

Missouri
(5/11/2026)

IAR

Nevada
(5/12/2026)

IAR

New Mexico
(5/12/2026)

IAR

Oregon
(5/11/2026)

IAR

Texas
(5/11/2026)

IAR

Utah
(5/12/2026)

IAR

Washington
(5/11/2026)

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

IAR

Series 65

Date: 2/2/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/4/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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

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 Accounts	4
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.

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Advisor Monitoring

Firm Stability Insights

John L. Bartsch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lester Bartsch's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

U.S. BANCORP INVESTMENTS, INC.

NORTHERN TRUST SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

UMB ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2026

Series 66

Date: 6/4/2014

Series 63

Date: 6/26/2007

SIE

Date: 2/28/2017

Series 7

Date: 4/19/2014

Series 6

Date: 6/25/2007

Current Firm

UMB ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UMB ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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