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JW

Joseph G. Watz

CONVERGENCE FINANCIAL
Columbia, MO 65203
Some features on this profile are disabled
CRD#: 2968014
JW

Professional summary

Joseph George Watz, CIMA®, who also goes by Jay Watz Jr, Joseph George Watz Jr, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Columbia, Missouri.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joseph has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jay Watz Jr | Joseph George Watz Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 02/24/2022 - Lake Wauwanoka Inc. (LWI) - Investment Related - PO BOX 265 Hillsboro MO 63050 - Business Owner - 3 Hours Per Month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph George Watz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Current

November 26, 2024 - Present

CONVERGENCE FINANCIAL

Office #1: 3919 S. Providence Road, Columbia, MO 65203
RIA
CRD#: 304146
Columbia, MO
Past

February 5, 2020 - September 21, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 20, 2018 - September 24, 2019

BMO INVESTMENT DISTRIBUTORS, LLC

BD
CRD#: 146711
CHICAGO, IL
Past

July 7, 2009 - December 13, 2018

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

August 8, 2008 - March 31, 2009

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

October 6, 2006 - August 4, 2008

NORTHERN TRUST SECURITIES, INC.

RIA
CRD#: 7927
CHICAGO, IL
Past

October 6, 2006 - August 4, 2008

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

February 3, 2005 - September 19, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ST. LOUIS, MO
Past

January 7, 2005 - September 19, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
ST. LOUIS, MO
Past

July 25, 2000 - January 13, 2005

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CONVERGENCE FINANCIAL
360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | LEGACY GROUP FINANCIAL ADVISORS | FOUR RIVERS FINANCIAL | CONVERGENCE FINANCIAL, LLC | CONVERGENCE FINANCIAL & TAX | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES

CRD#: 304146 / SEC#: 801-116738

RIA
Registered Investment Advisory firm - (6/3/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Missouri
(11/26/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/20/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/2/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/23/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2000
General Securities Representative Examination

Current Firm

CF
CONVERGENCE FINANCIAL
360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | LEGACY GROUP FINANCIAL ADVISORS | FOUR RIVERS FINANCIAL | CONVERGENCE FINANCIAL, LLC | CONVERGENCE FINANCIAL & TAX | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES

CRD#: 304146 / SEC#: 801-116738

RIA
Registered Investment Advisory firm - (6/3/2019 Approved)
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Contact information

Main Address
3919 S. Providence Road, Columbia, MO 65203
Mailing Address
Phone number
(573) 818-2264
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CONVERGENCE FINANCIAL 2A (9/10/2025)

Regulatory assets under management

Total Number of Accounts3,609
AUM (Assets Under Management)$ 703,445,900

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CONVERGENCE FINANCIAL

CRD#: 304146Columbia, MO 65203

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