Jacob H. Leddy

CONVERGENCE FINANCIAL

Annapolis, MD

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CRD#: 6073108

Professional summary

Jacob Harrison Leddy is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Annapolis, Maryland.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Jacob has worked at 4 firms and has passed the Series 66, Series 57TO, SIE, Series 7 and Series 56 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Harrison Leddy'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

March 5, 2026 - Present

CONVERGENCE FINANCIAL

Office #2: 3919 S Providence Road, Columbia, MO 65203

RIA

CRD#: 304146

Annapolis, MD

Past

June 3, 2021 - March 20, 2026

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

ANNAPOLIS, MD

Past

June 3, 2021 - March 20, 2026

RBC CAPITAL MARKETS, LLC

CRD#: 31194

ANNAPOLIS, MD

Past

February 24, 2015 - July 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ANNAPOLIS, MD

Past

December 5, 2014 - July 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ANNAPOLIS, MD

Past

August 29, 2012 - August 29, 2014

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

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".

CONVERGENCE FINANCIAL

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(3/5/2026)

IAR

Texas
(3/17/2026)

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

IAR

Series 66

Date: 2/23/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2014

General Securities Representative Examination

General Industry/Product Exam

Series 56

Date: 8/28/2012

Proprietary Trader Qualification Examination

Current Firm

CONVERGENCE FINANCIAL

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

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 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.

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Advisor Monitoring

Firm Stability Insights

Jacob H. Leddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Harrison Leddy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONVERGENCE FINANCIAL

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

T3 TRADING GROUP, LLC

Primary Firm SEC Registration

CONVERGENCE FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2015

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/17/2014

Series 56

Date: 8/28/2012

Current Firm

CONVERGENCE FINANCIAL

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONVERGENCE FINANCIAL

TRUST BUT VERIFY

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