CONVERGENCE FINANCIAL of COLUMBIA, MO is an SEC-registered investment adviser (CRD 304146). Regulatory assets under management: $904.0M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Travis Earl Cook | CEO AND MEMBER | — |
| Conor Francis Delaney | MEMBER | — |
| Tyler Stephen Hoffmann | PRESIDENT; PRESIDENT AND MEMBER | — |
| Cathleen Anne Wrisberg | CHIEF COMPLIANCE OFFICER | — |
| DELANEY JOSEPH FRANCIS | MEMBER | — |
| WRISBERG CATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | — |
| NEIN COURTNIE ELIZABETH | MEMBER | — |
| GROMIS RICHARD | CHIEF COMPLIANCE OFFICER | — |
| COSTELLO DANIEL BRIAN | MEMBER | — |
| BROCHU DENISE JUNE | CHIEF COMPLIANCE OFFICER | — |
| COOK TRAVIS EARL | CEO AND MEMBER; PRESIDENT AND MEMBER | — |
| LYMAN KELSEY MARIE | CHIEF COMPLIANCE OFFICER | — |
| LITTRELL WILLIAM PAINTER | CHIEF COMPLIANCE OFFICER | — |
| HOFFMANN TYLER STEPHEN | PRESIDENT | — |
| Adam Brian Parrie | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-06-05 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, JACOB LEDDY CONSENTED TO FINDINGS THAT HE IMPROPERLY RETAINED CUSTOMER NON-PUBLIC PERSONAL INFORMATION IN VIOLATION OF FINRA RULES AND FIRM POLICIES. | Final | $5K |