Our Staff has compiled our research into a database of FINRA Broker Disclosures for UMB Distribution Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Christopher William Sloan | 2563796 | 3 | 01/23/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher William Sloan | 2563796 | 3 | 01/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Alfred Pieretti | 4292362 | 2 | 06/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Alfred Pieretti | 4292362 | 2 | 05/02/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher William Sloan | 2563796 | 3 | 09/15/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marc Joe Bowen | 1563379 | 1 | 08/28/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |