DB
Daniel W. Baumgardner
CONVERGENCE FINANCIAL
Apple Valley, MN 55124
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CRD#: 6434690
DB
Professional summary
Daniel William Baumgardner is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Apple Valley, Minnesota.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Daniel has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
*Hennepin Technical College, Eden Prairie MN 55347; Non-Invst Rltd; Advisory Board; 03/2009-PRESENT; 0.25 hrs/mo, 0 trading hrs/mo. *Saint Paul College, Saint Paul MN; Non-Invst Rltd; Volunteer; Respiratory program advisory member; 08/2012-PRESENT; 0.50 hrs/mo, 0.50 trading hrs/mo. 6/1992 to present - Laerdal Medical, 167 Myers Corners Rd Wappingers Falls, NY 12590; Senior Client Executive, sell and service medical supplies; non-investment related; 160 hrs/mo; 6 hrs trading day; 8/2020 to present - Convergence Advisors, DBA for RIA business; 14665 Galaxie Ave, Suite 205, Apple Valley MN 55124; IAR; 10 hrs/mo; 10 trading hours/mo; 8/2020 to present - Convergence Financial, LLC; Registered Investment Advisors Hybrid; 3919 South Providence Rd, Columbia MO 65201; provide investment advice and financial planning services; 10 hrs/mo; 10 trading hours/mo
CRS (Client Relationship Summary) - RIA
Click below to view Daniel William Baumgardner'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 11, 2020 - Present
CONVERGENCE FINANCIAL
Office #1: 14665 Galaxie Avenue Suite 2015, Apple Valley, MN 55124RIA
CRD#: 304146
Apple Valley, MN
Past
November 1, 2018 - December 31, 2019
PFS INVESTMENTS INC.
RIA
CRD#: 10111
PARK RAPIDS, MN
Past
May 18, 2018 - June 1, 2018
PFS INVESTMENTS INC.
RIA
CRD#: 10111
PARK RAPIDS, MN
Past
May 18, 2018 - December 31, 2019
PFS INVESTMENTS INC.
BD
CRD#: 10111
PARK RAPIDS, MN
Past
August 1, 2017 - February 16, 2018
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MINNEAPOLIS, MN
Past
August 1, 2017 - February 16, 2018
CRI SECURITIES, LLC
RIA
CRD#: 22589
MINNEAPOLIS, MN
Past
August 1, 2017 - February 16, 2018
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MINNEAPOLIS, MN
Past
August 1, 2017 - February 16, 2018
CRI SECURITIES, LLC
BD
CRD#: 22589
MINNEAPOLIS, MN
Past
June 30, 2016 - October 11, 2016
WADDELL & REED
BD
CRD#: 866
ST PAUL, MN
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.Highlighted states indicate IAR registrations
IAR
Minnesota(8/11/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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.
