Thomas PittalaCRD Number: 4560403
Current Firm: Umb Financial Services, Inc.
Thomas Pittala (CRD# 4560403) is an Investment Advisor Representative working at Umb Financial Services, Inc. in Blue Springs, MO and has over 15 years of experience in the finance industry.
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|Umb Financial Services Inc.||Raytown, MO||Mar 2008 - Current||9|
|Commerce Brokerage||Lawrence, KS||Nov 2004 - Mar 2008||3|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management11MILLIONS
Total Number of Accounts30ACCOUNTS
Average Account Value$359,293
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
AL, AR, AZ, CA, CO, FL, GA, HI, IA, ID, IL, IN, KS, MA, MD, ME, MI, MN, MO, MS, NC, ND, NE, NJ, NM, NV, NY, OH, OK, PA, SC, SD, TX, WA, WI