PB
Phillip D. Bacon
CONVERGENCE FINANCIAL
Columbia, MO 65203
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CRD#: 6768592
PB
Professional summary
Phillip David Bacon, who also goes by Phillip Bacon, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Columbia, Missouri and LPL FINANCIAL LLC located in Columbia, Missouri.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Phillip has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phillip Bacon
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) 01/2024 - Convergence Financial / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent 2) 01/2024 - Bacon Properties, LLC / Business Entity For Tax/Investment Purposes Only / Non. Inv Related / Columbia, MO / Start date 04/15/2019 - 1Hrs per month 3) 05/02/2024 - Convergence Financial LLC - Registered Investment Advisor DBA - Advisor/ Admin Services - Investment Related - At Reported Business Location(s) - Start Date 01/08/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Convergence Financial LLC, an independent investment advisor firm. I started this business activity in 5/2024. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Phillip David Bacon'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
September 12, 2024 - Present
CONVERGENCE FINANCIAL
Office #1: 3919 S Providence Rd, Columbia, MO 65203RIA
CRD#: 304146
Columbia, MO
Current
January 24, 2024 - Present
LPL FINANCIAL LLC
Office #1: 3919 S. Providence Road, Columbia, MO 65203RIA
BD
CRD#: 6413
Columbia, MO
Past
January 25, 2021 - April 28, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
COLUMBIA, MO
Past
January 25, 2021 - April 28, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
COLUMBIA, MO
Past
October 25, 2017 - January 26, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Columbia, MO
Past
August 5, 2017 - January 26, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Columbia, 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
Missouri(1/24/2024)
IAR
Missouri(9/12/2024)
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
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
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.
