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CW

Cathleen A. Wrisberg

CRD#: 5861789
Some features on this profile are disabled
CW
Cathleen Anne Wrisberg

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cathleen Anne Wrisberg, who also goes by Carrie Mccartney, Cathleen Anne Mccartney, Carrie Wrisberg, Cathleen Wrisberg, was a registered financial professional .

Cathleen is a previously registered financial professional and started their career in finance in 2011. Cathleen had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 14, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 22, 2024 - May 6, 2026

CONVERGENCE FINANCIAL

RIA
CRD#: 304146
Chesterfield, MO
Past

September 25, 2024 - June 1, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
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 WEALTH | 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

CF
CONVERGENCE FINANCIAL
360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | LEGACY GROUP FINANCIAL ADVISORS | FOUR RIVERS FINANCIAL | CONVERGENCE WEALTH | 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 (27 States and Territories)

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#: 304146

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