SW
Stacey A. Wescoat
CONVERGENCE FINANCIAL
New Madrid, MO 63869
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CRD#: 6063940
SW
Professional summary
Stacey Ann Wescoat, who also goes by Stacey Wescoat Hutcherson, Stacey Wescoat Nesselrodt, Stacey Ann Wescoat, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in New Madrid, Missouri and LPL FINANCIAL LLC located in New Madrid, Missouri.
Stacey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Stacey has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacey Wescoat Hutcherson | Stacey Wescoat Nesselrodt | Stacey Ann Wescoat
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- 08/2024 / CONVERGENCE FINANCIAL / WESCOAT WEALTH MANAGEMENT / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2- 08/14/2024 - CONVERGENCE FINANCIAL LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 08/15/2024 - 12 Hours Per Month/ 1 Hour During Trading - I provide investment advisory services through CONVERGENCE FINANCIAL LLC, an independent investment advisor firm. I started this business activity in 8/2024. 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. 3.05/13/2025 - SAW Property Management - Investment Related - Real Estate Rental - Madrid, MO - Start Date: 06/02/2025 - 5 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Stacey Ann Wescoat'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
August 9, 2024 - Present
CONVERGENCE FINANCIAL
Office #1: 718 Us Hwy 61, New Madrid, MO 63869RIA
CRD#: 304146
New Madrid, MO
Current
August 9, 2024 - Present
LPL FINANCIAL LLC
Office #1: 206 Main St Ste C, New Madrid, MO 63869RIA
BD
CRD#: 6413
NEW MADRID, MO
Past
January 6, 2022 - August 16, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Poplar Bluff, MO
Past
January 6, 2022 - August 16, 2024
MORGAN STANLEY
BD
CRD#: 149777
Poplar Bluff, MO
Past
February 11, 2013 - January 7, 2022
EDWARD JONES
RIA
CRD#: 250
NEW MADRID, MO
Past
January 25, 2013 - January 7, 2022
EDWARD JONES
BD
CRD#: 250
NEW MADRID, 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
Alabama(8/23/2024)
RR
Arkansas(8/9/2024)
RR
California(8/9/2024)
RR
Colorado(8/9/2024)
RR
Florida(8/9/2024)
RR
Illinois(8/9/2024)
RR
Kansas(8/9/2024)
RR
Kentucky(8/9/2024)
RR
Missouri(8/9/2024)
IAR
Missouri(8/9/2024)
RR
Ohio(8/9/2024)
IAR
Texas(8/9/2024)
RR
Texas(7/7/2025)
RR
Virginia(8/9/2024)
RR
Washington(8/9/2024)
RR
Wyoming(8/9/2024)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
