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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

SAMANTHA M LICKO

Advisor at UMB FINANCIAL SERVICES, INC.

Phoenix, AZ

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Search this name across graphsid dfx:ria:4f9a9d3d-e73b-47b5-ad0f-b99a2faa6d0d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 21, 2011 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: Apr 7, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 7, 2011
First registration: Apr 21, 2011
Dual registered: yes, broker-dealer
Other names: SAMANTHA M LICKO|Samantha Licko
IAPD individual key: 5888998

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	Jul 15, 2025	n/a	yes	Phoenix, AZ	Current employment
MORGAN STANLEY	Wirehouse	Sep 23, 2022	Oct 31, 2023	no	Scottsdale, AZ	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Sep 1, 2022	no	MESA, AZ\|MESA, AZ\|QUEEN CREEK, AZ\|MESA, AZ\|GILBERT, AZ\|MESA, AZ\|CHANDLER, AZ\|GILBERT, AZ\|GILBERT, AZ\|Tempe, AZ\|GILBERT, AZ\|SCOTTSDALE, AZ\|CHANDLER, AZ\|GILBERT, AZ\|SAN TAN VALLEY, AZ\|SCOTTSDALE, AZ\|MESA, AZ\|GILBERT, AZ	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 21, 2011	Oct 1, 2012	no	PHOENIX, AZ\|MESA, AZ\|MESA, AZ\|MESA, AZ\|QUEEN CREEK, AZ\|PHOENIX, AZ\|MESA, AZ\|MESA, AZ	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
MORGAN STANLEY	UMB FINANCIAL SERVICES, INC.	Oct 31, 2023	Jul 15, 2025	623	Firm change after gap	Wirehouse to RIA
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY	Sep 1, 2022	Sep 23, 2022	22	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other

Relationships

Registered with (4)

→ UMB FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Jul 15, 2025 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 23, 2022 to Oct 31, 2023factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Sep 1, 2022factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 21, 2011 to Oct 1, 2012factForm ADV

Dated events

Occurred
Oct 31, 2023
Advisor changed firm
Samantha M Licko left Morgan Stanley for Umb Financial Services, Inc. (registered 2025-07-15)
Form ADVobserved 4 days ago
Occurred
Sep 1, 2022
Advisor changed firm
Samantha M Licko left J.P. Morgan Securities Llc for Morgan Stanley (registered 2022-09-23)
Form ADVobserved 4 days ago