Andrew J. Wacker

CONVERGENCE ADVISORY GROUP

Omaha, NE 68154

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CRD#: 4507611

Professional summary

Andrew John Wacker, CFP® is a registered financial advisor currently at CONVERGENCE ADVISORY GROUP located in Omaha, Nebraska.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Andrew has worked at 6 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

***Convergence Network Position: Own/Manage Nature: Insurance and Marketing Investment Related: No Hours: 150 Securities Trading Hours: 120 Start Date: 10/12/2018 Address: 17117 Burt Street, Suite 302, Omaha NE 68118 ***FINANCIAL EDUCATION COLLABORATIVE POSITION: Executive Director NATURE: Financial Education Program Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 02/14/2019 ADDRESS: 12020 Shamrock Plz, Suite 200, Omaha NE 68154, United States DESCRIPTION: Help plan, coordinate, and host education workshops at Universities and libraries as a volunteer and board member. ***CONVERGENCE WEALTH, LLC POSITION: Partner & Advisor NATURE: Advisory Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 140 START DATE: 11/06/2020 ADDRESS: 17117 Burt Street, Suite 302, Omaha NE 68118, United States DESCRIPTION: Provide financial planning and investment advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Wacker'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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

November 6, 2020 - Present

CONVERGENCE ADVISORY GROUP

Office #1: 12020 Shamrock Plaza Suite 100, Omaha, NE 68154

RIA

CRD#: 308408

Omaha, NE

Past

May 31, 2019 - January 19, 2021

CONTINUUM FINANCIAL

RIA

CRD#: 175297

OMAHA, NE

Past

May 3, 2019 - February 3, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

OMAHA, NE

Past

August 9, 2007 - February 27, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

OMAHA, NE

Past

July 24, 2007 - February 27, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

OMAHA, NE

Past

March 13, 2006 - July 13, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

March 13, 2006 - July 13, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

September 11, 2002 - May 20, 2004

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

LINCOLN, NE

Past

May 27, 2002 - May 20, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Nebraska
(11/6/2020)

IAR

Texas
(3/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/11/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/3/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 5/3/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/28/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/24/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONVERGENCE ADVISORY GROUP

CONVERGENCE ADVISORY GROUP | CONVERGENCE WEALTH, LLC | CONVERGENCE WEALTH

CRD#: 308408 / SEC#:

Nebraska

Registered Investment Advisory firm - (10/5/2020 Approved)

Texas

Registered Investment Advisory firm - (3/29/2023 Conditional Restricted)

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Contact information

Main Address

12020 Shamrock Plaza Suite 100, Omaha, NE 68154

Mailing Address

Phone number

(402) 991-5600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	585
AUM (Assets Under Management)	$ 89,588,469

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.

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Advisor Monitoring

Firm Stability Insights

Andrew J. Wacker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Wacker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONTINUUM FINANCIAL

SECURITIES AMERICA, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/11/2019

Series 65

Date: 12/3/2018

Series 6TO

Date: 5/3/2019

SIE

Date: 3/28/2019

Series 7

Date: 12/30/2002

Series 6

Date: 5/24/2002

Current Firm

CONVERGENCE ADVISORY GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CONVERGENCE ADVISORY GROUP

TRUST BUT VERIFY

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