JB
John W. Briscoe
CONVERGENCE FINANCIAL
Columbia, MO 65203
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CRD#: 3277814
JB
Professional summary
John W. Briscoe II, who also goes by John W Briscoe II, John Wilford Briscoe Ii, John Briscoe Ii, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Columbia, Missouri and LPL FINANCIAL LLC located in Columbia, Missouri.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John W Briscoe Ii | John Wilford Briscoe Ii | John Briscoe Ii
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. 8/29/2019 - JWB2, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 08/22/2019 - 4 Hours Per Month/1 Hour During Securities Trading. 2. 8/29/2019 - Good Life Insurance Agency - Investment Related - 2395 Lancaster Pike, Reading, PA - Non-Variable Insurance - Started 8/22/2019 - 4 Hours Per Month/1 Hour During Securities Trading - Time Spent 1%. 3. 8/29/2019 - Convergence Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 8/22/19 - 80 Hours Per Month/4 Hours During Securities Trading. 4. 9/3/2019 - Convergence Financial LLC - DBA: (Hybrid) Convergence Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 8/22/2019 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through Convergence Financial, an independent investment advisor firm. I started this business activity in 09/2019. I expect to spend approximately 80 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 services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 08/02/2024 - Briscoe & Briscoe - Other - Business Owner - Organizer/ Owner - Not Investment Related - Home Based - Start Date 01/01/2024 - 3 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view John W. Briscoe II's 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®
NoneExperience
Current
September 27, 2019 - Present
CONVERGENCE FINANCIAL
Office #1: 3919 S. Providence Road, Columbia, MO 65203Office #2: 428 E Morgan Street, Boonville, MO 65233RIA
CRD#: 304146
Columbia, MO
Current
August 29, 2019 - Present
LPL FINANCIAL LLC
Office #1: 3919 S. Providence Road, Columbia, MO 65203Office #2: 428 E Morgan Street, Boonville, MO 65233RIA
BD
CRD#: 6413
Columbia, MO
Past
August 29, 2019 - August 29, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
November 21, 2008 - September 27, 2019
SMITH, MOORE & CO.
RIA
CRD#: 3441
BOONVILLE, MO
Past
August 25, 2008 - September 27, 2019
SMITH, MOORE & CO.
BD
CRD#: 3441
BOONVILLE, MO
Past
January 1, 2008 - September 4, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOONVILLE, MO
Past
September 27, 1999 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BOONVILLE, 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/29/2019)
RR
California(8/29/2019)
RR
Colorado(8/29/2019)
RR
Florida(3/3/2021)
RR
Illinois(8/29/2019)
RR
Iowa(8/29/2019)
RR
Kansas(8/29/2019)
RR
Massachusetts(8/29/2019)
RR
Minnesota(8/29/2019)
RR
Missouri(8/29/2019)
IAR
Missouri(9/27/2019)
RR
New York(12/11/2020)
RR
Oklahoma(8/27/2025)
RR
Oregon(8/29/2019)
RR
Texas(8/29/2019)
IAR
Texas(1/13/2021)
RR
Virginia(8/29/2019)
RR
Wisconsin(8/29/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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
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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)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,609 |
| 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.
