MS
Michael T. Simon
UMB FINANCIAL SERVICES
Phoenix, AZ
Some features on this profile are disabled
CRD#: 5959625
MS
Professional summary
Michael Toofik Simon, who also goes by Tofik Michael Simon, is a registered financial advisor currently at UMB FINANCIAL SERVICES, INC. located in Phoenix, Arizona.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tofik Michael Simon
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) Princess Jewels, Owner; Retail; 1007 W Flower St, , Phoenix, AZ, 85013; Not Investment-Related; 2003; 1 to 9 hours per month; 0 during trading hours 2) Interiors to Live By, 2006, help my wife with the finances for her business ; 1007 W Flower St, , Phoenix, AZ, 85013; Not Investment-Related; 2006; 0 during trading hours; 1 to 9 hours per month 3) UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 04/08/2024, 8 hours per month allocated to UMB Bank during normal business hours
CRS (Client Relationship Summary) - RIA
Click below to view Michael Toofik Simon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Toofik Simon'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
April 11, 2024 - Present
UMB FINANCIAL SERVICES, INC.
Office #2: 2036 E Camelback Road, Phoenix, AZ 85016RIA
BD
CRD#: 17073
Phoenix, AZ
Current
April 8, 2024 - Present
UMB FINANCIAL SERVICES, INC.
Office #1: 2036 E Camelback Road, Phoenix, AZ 85016RIA
BD
CRD#: 17073
Phoenix, AZ
Past
November 3, 2023 - January 24, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Phoenix, AZ
Past
November 3, 2023 - January 24, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Phoenix, AZ
Past
January 31, 2023 - November 3, 2023
COMERICA SECURITIES
RIA
CRD#: 17079
PHOENIX, AZ
Past
January 31, 2023 - November 3, 2023
COMERICA SECURITIES
BD
CRD#: 17079
PHOENIX, AZ
Past
September 11, 2015 - January 13, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SCOTTSDALE, AZ
Past
September 23, 2011 - January 13, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SCOTTSDALE, AZ
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(4/11/2024)
IAR
Arizona(4/11/2024)
RR
California(5/1/2024)
IAR
California(5/2/2024)
RR
Colorado(4/11/2024)
IAR
Colorado(4/11/2024)
RR
Florida(4/11/2024)
IAR
Florida(4/12/2024)
RR
Massachusetts(5/1/2025)
IAR
Massachusetts(6/5/2025)
RR
Minnesota(5/1/2024)
IAR
Minnesota(5/3/2024)
RR
Missouri(3/25/2025)
RR
New Mexico(10/22/2024)
IAR
New Mexico(10/23/2024)
RR
Oklahoma(1/9/2025)
RR
Oregon(8/19/2025)
IAR
Oregon(8/21/2025)
RR
Pennsylvania(12/24/2024)
IAR
Pennsylvania(8/28/2025)
RR
Texas(4/11/2024)
IAR
Texas(4/11/2024)
RR
Utah(5/28/2024)
RR
Washington(4/7/2025)
IAR
Washington(4/8/2025)
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)
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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.
