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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Michael Toofik Simon

Advisor at UMB FINANCIAL SERVICES, INC.

Leawood, KS | Phoenix, AZ

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Search this name across graphsid dfx:ria:243a2483-6aa4-b348-d5f7-546dd5a76f27

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 11, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UMB FINANCIAL SERVICES, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 14
Exams: S63|S66
First exam: Oct 13, 2011
First registration: Sep 11, 2015
Dual registered: yes, broker-dealer
Other names: TOFIK MICHAEL SIMON
IAPD individual key: 5959625

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UMB FINANCIAL SERVICES, INC.	Independent wealth	Apr 11, 2024	n/a	yes	Phoenix, AZ\|Leawood, KS\|Phoenix, AZ	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 3, 2023	Jan 24, 2024	no	Phoenix, AZ	Previous registration
COMERICA SECURITIES	Former SEC adviser	Jan 31, 2023	Nov 3, 2023	no	PHOENIX, AZ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 11, 2015	Jan 13, 2023	no	PHOENIX, AZ\|SCOTTSDALE, AZ\|SCOTTSDALE, AZ\|SCOTTSDALE, AZ\|PHOENIX, AZ\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|TARPON SPRINGS, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	UMB FINANCIAL SERVICES, INC.	Jan 24, 2024	Apr 11, 2024	78	Firm change	Ibd to RIA
COMERICA SECURITIES	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	RIA to ibd
WELLS FARGO ADVISORS	COMERICA SECURITIES	Jan 13, 2023	Jan 31, 2023	18	Firm change	Wirehouse to RIA

Relationships

Registered with (4)

→ UMB FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Apr 11, 2024 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 3, 2023 to Jan 24, 2024factForm ADV
→ COMERICA SECURITIESRegistered adviserregistration: previous registration
Jan 31, 2023 to Nov 3, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 11, 2015 to Jan 13, 2023factForm ADV

Dated events

Occurred
Jan 24, 2024
Advisor changed firm
Michael Toofik Simon left Ameriprise Financial Services, Llc for Umb Financial Services, Inc. (registered 2024-04-11)
Form ADVobserved 5 days ago
Occurred
Jan 13, 2023
Advisor changed firm
Michael Toofik Simon left Wells Fargo Advisors for Comerica Securities (registered 2023-01-31)
Form ADVobserved 5 days ago