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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

Roy C Lines

Advisor at UMB FINANCIAL SERVICES, INC.

Davenport, IA | Dubuque, IA | Leawood, KS

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Search this name across graphsid dfx:ria:59a9d596-e780-1d49-a36b-d09f181c22fe

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Jan 1, 1999 to Sep 15, 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: Jan 20, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 15
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jan 20, 1989
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
Other names: ROY CLAYTON LINES
IAPD individual key: 1906516

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	Mar 24, 2026	n/a	yes	Davenport, IA\|Dubuque, IA\|Leawood, KS	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 4, 2024	Mar 27, 2026	no	MOLINE, IL\|MOLINE, IL\|GALESBURG, IL\|Muscatine, IA\|MUSCATINE, IA\|SAN DIEGO, CA\|MUSCATINE, IA	Previous registration
NIKULSKI FINANCIAL, INC.	Independent wealth	Feb 27, 2024	Aug 22, 2024	no	BETTENDORF, IA	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Dec 23, 2020	Feb 20, 2024	no	Carpinteria, CA\|Davenport, IA	Previous registration
AVANTAX PLANNING PARTNERS, INC.	Bd affiliated wealth	Feb 18, 2015	Jan 15, 2020	no	DUBUQUE, IA	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	May 21, 2012	Feb 26, 2013	no	DALLAS, TX\|DALLAS, TX	Previous registration
LINES ASSET MANAGEMENT	n/a	Dec 2, 2010	Nov 14, 2011	no	DUBUQUE, IA	Previous registration
AVANTAX PLANNING PARTNERS, INC.	Bd affiliated wealth	Jan 1, 1999	Jul 7, 2010	no	DUBUQUE, IA	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
LPL FINANCIAL LLC	UMB FINANCIAL SERVICES, INC.	Mar 27, 2026	Mar 24, 2026	-3	Firm change	Ibd to RIA
NIKULSKI FINANCIAL, INC.	LPL FINANCIAL LLC	Aug 22, 2024	Oct 4, 2024	43	Firm change	RIA to ibd
PLANMEMBER SECURITIES CORPORATION	NIKULSKI FINANCIAL, INC.	Feb 20, 2024	Feb 27, 2024	7	Firm change	RIA to RIA
AVANTAX PLANNING PARTNERS, INC.	PLANMEMBER SECURITIES CORPORATION	Jan 15, 2020	Dec 23, 2020	343	Firm change	RIA to RIA
1ST GLOBAL ADVISORS INC	AVANTAX PLANNING PARTNERS, INC.	Feb 26, 2013	Feb 18, 2015	722	Firm change after gap	Other
LINES ASSET MANAGEMENT	1ST GLOBAL ADVISORS INC	Nov 14, 2011	May 21, 2012	189	Firm change	Other
AVANTAX PLANNING PARTNERS, INC.	LINES ASSET MANAGEMENT	Jul 7, 2010	Dec 2, 2010	148	Firm change	Other

Relationships

Registered with (7)

→ UMB FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Mar 24, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 4, 2024 to Mar 27, 2026factForm ADV
→ NIKULSKI FINANCIAL, INC.Registered adviserregistration: previous registration
Feb 27, 2024 to Aug 22, 2024factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 23, 2020 to Feb 20, 2024factForm ADV
→ AVANTAX PLANNING PARTNERS, INC.Registered adviserregistration: previous registration
Feb 18, 2015 to Jan 15, 2020factForm ADV
→ 1ST GLOBAL ADVISORS INCRegistered adviserregistration: previous registration
May 21, 2012 to Feb 26, 2013factForm ADV
→ LINES ASSET MANAGEMENTRegistered adviserregistration: previous registration
Dec 2, 2010 to Nov 14, 2011factForm ADV

Dated events

Occurred
Mar 27, 2026
Advisor changed firm
Roy C Lines left Lpl Financial Llc for Umb Financial Services, Inc. (registered 2026-03-24)
Form ADVobserved 4 days ago
Occurred
Aug 22, 2024
Advisor changed firm
Roy C Lines left Nikulski Financial, Inc. for Lpl Financial Llc (registered 2024-10-04)
Form ADVobserved 4 days ago
Occurred
Feb 20, 2024
Advisor changed firm
Roy C Lines left Planmember Securities Corporation for Nikulski Financial, Inc. (registered 2024-02-27)
Form ADVobserved 4 days ago