Roy C Lines
Investment Adviser Representative at UMB Financial Services, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Roy C. Lines is an investment adviser representative with UMB Financial Services, Inc. in Dubuque, IA, where they have been registered since 2026. They have worked in the securities industry since 1992 and have been registered with 7 firms, including LPL Financial LLC and Nikulski Financial, Inc. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in 15 states.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Alabama, Arizona, California, Florida, Illinois, Indiana, Iowa, Kansas, Minnesota, Nevada, New Mexico, New York, North Carolina, Texas, Wisconsin
- Broker:
22 states and territories
Alabama, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Iowa, Kansas, Maryland, Minnesota, Montana, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, Texas, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Honkamp Krueger Payroll Services, Inc.Feb 2015 – Jun 2019Dubuque, IA
- The Advisory GroupSep 2020 – Nov 2020Davenport, IA
- The Advisory GroupNov 2020 – Mar 2021Davenport, IA
- PlanMember Securities CorporationNov 2020 – Mar 2021Carpinteria, CA
- NA - UnemployedJan 2020 – Aug 2020Dubuque, IA
- Honkamp Krueger Financial Services, Inc.Feb 2015 – Jan 2020Dubuque, IA
- iSolved HCMJun 2019 – Jan 2020Dubuque, IA
- The Advisory GroupMar 2021 – Feb 2024Davenport, IA
- PlanMember Securities CorporationMar 2021 – Feb 2024Carpinteria, CA
- Nikulski FinancialFeb 2024 – Aug 2024Bettendorf, IA
- LPL Financial LLCOct 2024 – Mar 2026Muscatine, IA
- CBI BANK AND TrustSep 2024 – Mar 2026Muscatine, IA
- UMB Financial Services IncMar 2026 – no end date reportedDubuque, IA
- UMB BankMar 2026 – no end date reportedDubuque, IA
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About UMB Financial Services, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Self-directed investing (stocks, bonds, options, ETFs, mutual funds, brokered CDs) with no minimum; and investing with a financial professional offering personalized investment strategies, ongoing account monitoring and rebalancing via UMB Managed Account Solutions, and access to additional products including unit investment trusts, variable annuities and managed accounts, with a $50,000 minimum.
Client types the firm serves
Firm assets under management
Under $100M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 41
- Offices listed on AdvisorFinder:
- 15
- Main office:
- Kansas City, MO
- SEC file number:
- 801-62967
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 3, 2026
View full firm profileOther advisors at UMB Financial Services, Inc.
Showing 12 of 41 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Roy C Lines has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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