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3919 S. Providence Road, Columbia, MO 65203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2024-03-28 |
| TX | RA | APPROVED | 2024-03-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 01/2002 | 03/2024 |
| Convergence Financial | Prairie Village | KS | 03/2024 | Present |
| Lpl Financial Llc | Overland Park | KS | 05/2024 | Present |
1) 05/09/2024 - Convergence Financial, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 05/21/2024 - Convergence Financial, LLC - Registered Investment Advisor DBA - Advisor - Investment Related - At Reported Business Location(s) - Start Date 04/26/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Convergence Financial, LLC an independent investment advisor firm. I started this business activity in 5/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 06/05/2024 - Ramos Group - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 4/1/2024 - 40 Hrs/Mo During Trading. 4) 03/30/2026 - Ramos Group LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 04/08/2024 - 5 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-04 |
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