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CW

Cathleen A. Wrisberg

CONVERGENCE FINANCIAL
Chesterfield, MO
Some features on this profile are disabled
CRD#: 5861789
CW

Professional summary

Cathleen Anne Wrisberg, who also goes by Carrie Mccartney, Cathleen Anne Mccartney, Carrie Wrisberg, Cathleen Wrisberg, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Chesterfield, Missouri and LPL FINANCIAL LLC located in Columbia, Missouri.

Cathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Cathleen has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 14, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carrie Mccartney | Cathleen Anne Mccartney | Carrie Wrisberg | Cathleen Wrisberg

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 - 09/24/2024 - Convergence Financial LLC - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 40 Hours During Trading - At reported business location(s). 2- 11/05/2024 - Convergence Financial LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 09/25/2024 - 160 Hours Per Month/ 40 Hours During Trading - I provide investment advisory services through Convergence Financial LLC, an independent investment advisor firm. I started this business activity in 10/2024. 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cathleen Anne Wrisberg'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®
None

Experience

Current

October 22, 2024 - Present

CONVERGENCE FINANCIAL

RIA
CRD#: 304146
Chesterfield, MO
Current

September 25, 2024 - Present

LPL FINANCIAL LLC

Office #1: 3919 S. Providence Road, Columbia, MO 65203
RIA
BD
CRD#: 6413
Columbia, MO
Past

February 23, 2016 - February 29, 2024

MOLONEY SECURITIES ASSET MANAGEMENT LLC

RIA
CRD#: 282448
MANCHESTER, MO
Past

January 27, 2016 - December 31, 2016

MOLONEY INVESTMENT ADVISORY LLC

RIA
CRD#: 282140
MANCHESTER, MO
Past

July 7, 2015 - April 27, 2016

MOLONEY SECURITIES CO., INC.

RIA
CRD#: 38535
MANCHESTER, MO
Past

July 7, 2015 - February 29, 2024

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
MANCHESTER, MO
Past

March 23, 2011 - July 6, 2015

EDWARD JONES

RIA
CRD#: 250
ST LOUIS, MO
Past

February 21, 2011 - July 6, 2015

EDWARD JONES

BD
CRD#: 250
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.
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
Kansas
(1/17/2025)
RR
Minnesota
(1/28/2025)
RR
Missouri
(9/25/2024)
IAR
Missouri
(10/22/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/18/2011
Uniform Combined 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: 2/18/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/11/2011
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/12/2011
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2011
General Securities Principal Examination
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
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#: 304146Chesterfield, MO

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